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.

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

Jul 1, 1997earliest registration or exam on IAPD

Years in industry

29derivedfrom the industry start date

Years at current firm

0derivedfrom the current registration's begin date

Prior firms

3

Current registrations

1

Registered states

1

Exams

S63|S65

First exam

Nov 15, 2018

First registration

Nov 15, 2018

Dual registered

yes, broker-dealer

Other names

Stephen Andrew McLeod

IAPD individual key

2938758

• Occurred

  Mar 27, 2025
  Advisor changed firm

  Stephen Mcleod left Lpl Financial Llc for Charles Schwab & Co., Inc. (registered 2025-12-12)

  Form ADVobserved 5 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:86529ae3-a074-e962-d505-4d446c132c67

First observed

Nov 15, 2018

Last observed

Sep 14, 2026 6 days ago

Source families

Federal regulator filings

1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.