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RIA / WealthAdvisordual registered (broker-dealer)18 years in industry

TROY M MAILLOUX

Advisor at CHARLES SCHWAB & CO., INC.

WESTLAKE, TX | Marco Island, FL

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Search this name across graphsid dfx:ria:80347385-a3c2-0aca-575c-778c03a1eeb9

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 4:53 PM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 1
On other graphs: 0
Observed: Apr 23, 2009 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CHARLES SCHWAB & CO., INC.
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 15, 2008earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 11
Current registrations: 1
Registered states: 1
Exams: S63|S66
First exam: Apr 15, 2008
First registration: Apr 23, 2009
Dual registered: yes, broker-dealer
Other names: Troy M Mailloux|TROY MICHAEL MAILLOUX|Troy Mailloux
IAPD individual key: 5294407

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CHARLES SCHWAB & CO., INC.	National bd RIA	Apr 7, 2021	n/a	yes	WESTLAKE, TX\|Marco Island, FL	Current employment
TD AMERITRADE, INC.	Former SEC adviser	Oct 7, 2021	Oct 14, 2022	no	Boca Raton, FL\|Boca Raton, FL\|OMAHA, NE\|Boca Raton, FL	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Dec 26, 2019	Jan 29, 2021	no	Naples, FL	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Dec 19, 2019	Jan 29, 2021	no	Naples, FL	Previous registration
CHARLES SCHWAB & CO., INC.	National bd RIA	Feb 2, 2017	Dec 3, 2019	no	Boca Raton, FL	Previous registration
PLATINUM WEALTH PARTNERS	Former SEC adviser	Jun 10, 2016	Nov 2, 2016	no	NAPLES, FL\|TAMPA, FL	Previous registration
CAPITALROCK FINANCIAL, LLC	Former SEC adviser	Dec 3, 2015	Jan 31, 2017	no	NAPLES, FL	Previous registration
QUANTITATIVE INVESTMENT DECISIONS LLC	Former SEC adviser	May 28, 2015	Mar 23, 2016	no	NAPLES, FL	Previous registration
CAPITALROCK INVESTMENTS, LLC	n/a	Mar 15, 2013	Nov 7, 2016	no	AVENTURA, FL\|NAPLES, FL	Previous registration
FIRST ALLIED ADVISORY SERVICES, INC.	Former SEC adviser	May 21, 2012	Apr 1, 2013	no	NAPLES, FL	Previous registration
FIRST ALLIED SECURITIES, INC.	Former SEC adviser	Jan 10, 2012	Jul 2, 2012	no	Bonita Springs, FL	Previous registration
STRATEGIC ADVISERS LLC	National bd RIA	Apr 23, 2009	Jan 4, 2012	no	NAPLES, FL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
TD AMERITRADE, INC.	n/a	Oct 14, 2022	n/a	n/a	Departure no registered destination	Departure
TD AMERITRADE, INC.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Jan 29, 2021	Dec 26, 2019	-400	Channel change	Other
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	CHARLES SCHWAB & CO., INC.	Jan 29, 2021	Apr 7, 2021	68	Channel change	RIA to ibd
CHARLES SCHWAB & CO., INC.	TD AMERITRADE, INC.	Dec 3, 2019	Dec 19, 2019	16	Channel change	Other
CAPITALROCK FINANCIAL, LLC	PLATINUM WEALTH PARTNERS	Jan 31, 2017	Jun 10, 2016	-235	Firm change after gap	Other
CAPITALROCK INVESTMENTS, LLC	QUANTITATIVE INVESTMENT DECISIONS LLC	Nov 7, 2016	May 28, 2015	-529	Firm change after gap	Other
PLATINUM WEALTH PARTNERS	CHARLES SCHWAB & CO., INC.	Nov 2, 2016	Feb 2, 2017	92	Firm change	Other
QUANTITATIVE INVESTMENT DECISIONS LLC	CAPITALROCK FINANCIAL, LLC	Mar 23, 2016	Dec 3, 2015	-111	Firm change after gap	Other
FIRST ALLIED ADVISORY SERVICES, INC.	CAPITALROCK INVESTMENTS, LLC	Apr 1, 2013	Mar 15, 2013	-17	Firm change	Other
FIRST ALLIED SECURITIES, INC.	FIRST ALLIED ADVISORY SERVICES, INC.	Jul 2, 2012	May 21, 2012	-42	Bulk transfer	Other
STRATEGIC ADVISERS LLC	FIRST ALLIED SECURITIES, INC.	Jan 4, 2012	Jan 10, 2012	6	Firm change	Other

Relationships

Registered with (10)

→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: previous registration
Feb 2, 2017 to Dec 3, 2019factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Oct 7, 2021 to Oct 14, 2022factForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Dec 26, 2019 to Jan 29, 2021factForm ADV
→ CAPITALROCK FINANCIAL, LLCRegistered adviserregistration: previous registration
Dec 3, 2015 to Jan 31, 2017factForm ADV
→ CAPITALROCK INVESTMENTS, LLCRegistered adviserregistration: previous registration
Mar 15, 2013 to Nov 7, 2016factForm ADV
→ PLATINUM WEALTH PARTNERSRegistered adviserregistration: previous registration
Jun 10, 2016 to Nov 2, 2016factForm ADV
→ QUANTITATIVE INVESTMENT DECISIONS LLCRegistered adviserregistration: previous registration
May 28, 2015 to Mar 23, 2016factForm ADV
→ FIRST ALLIED ADVISORY SERVICES, INC.Registered adviserregistration: previous registration
May 21, 2012 to Apr 1, 2013factForm ADV
→ FIRST ALLIED SECURITIES, INC.Registered adviserregistration: previous registration
Jan 10, 2012 to Jul 2, 2012factForm ADV
→ STRATEGIC ADVISERS LLCRegistered adviserregistration: previous registration
Apr 23, 2009 to Jan 4, 2012factForm ADV

Dated events

Occurred
Oct 14, 2022
Advisor departed, no destination yet
Troy M Mailloux no longer registered at Td Ameritrade, Inc.; no later IA registration on IAPD
Form ADVobserved 6 days ago