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RIA / WealthAdvisordual registered (broker-dealer)39 years in industry

GREGORY CLAYTON ALLEN

Advisor at CHARLES SCHWAB & CO., INC.

Houston, TX

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Search this name across graphsid dfx:ria:8a378f2d-3ad7-2dba-6316-b2aaa9e93339

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:46 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 0
On other graphs: 0
Observed: Jul 10, 2002 to Sep 14, 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: Jun 24, 1987earliest registration or exam on IAPD
Years in industry: 39derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Jun 24, 1987
First registration: Jul 10, 2002
Dual registered: yes, broker-dealer
Other names: GREGARY CLAYTON ALLEN|Greg Allen
IAPD individual key: 1672947

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	Jan 26, 2022	n/a	yes	Houston, TX	Current employment
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Dec 6, 2012	Sep 7, 2023	no	HOUSTON, TX\|HOUSTON, TX	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Dec 6, 2012	Oct 14, 2022	no	HOUSTON, TX\|OMAHA, NE	Previous registration
E*TRADE CAPITAL MANAGEMENT, LLC	Former SEC adviser	Jun 7, 2011	Nov 16, 2012	no	HOUSTON, TX\|ARLINGTON, VA	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	May 2, 2009	Jun 1, 2011	no	KATY, TX\|HOUSTON, TX	Previous registration
WAMU INVESTMENTS, INC.	n/a	Nov 11, 2004	May 2, 2009	no	HOUSTON, TX\|KATY, TX\|HOUSTON, TX\|CYPRESS, TX\|HOUSTON, TX\|HOUSTON, TX\|HOUSTON, TX\|CYPRESS, TX\|CYPRESS, TX\|HOUSTON, TX\|HOUSTON, TX\|KATY, TX\|CONROE, TX\|THE WOODLANDS, TX\|SPRING, TX\|SPRING, TX\|TOMBALL, TX\|THE WOODLANDS, TX\|SPRING, TX\|THE WOODLANDS, TX	Previous registration
AMERIPRISE ADVISOR SERVICES, INC.	n/a	Jun 30, 2003	Nov 9, 2004	no	SUGARLAND, TX	Previous registration
CHOREO, LLC	Independent wealth	Jul 10, 2002	Jul 10, 2003	no	SUGARLAND, TX	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 INVESTMENT MANAGEMENT, LLC	CHARLES SCHWAB & CO., INC.	Sep 7, 2023	Jan 26, 2022	-589	Bulk transfer	RIA to ibd
TD AMERITRADE, INC.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Oct 14, 2022	Dec 6, 2012	-3,599	Bulk transfer	Other
E*TRADE CAPITAL MANAGEMENT, LLC	TD AMERITRADE, INC.	Nov 16, 2012	Dec 6, 2012	20	Firm change	Other
CHASE INVESTMENT SERVICES CORP.	E*TRADE CAPITAL MANAGEMENT, LLC	Jun 1, 2011	Jun 7, 2011	6	Firm change	Other
WAMU INVESTMENTS, INC.	CHASE INVESTMENT SERVICES CORP.	May 2, 2009	May 2, 2009	0	Bulk transfer	Other
AMERIPRISE ADVISOR SERVICES, INC.	WAMU INVESTMENTS, INC.	Nov 9, 2004	Nov 11, 2004	2	Firm change	Other
CHOREO, LLC	AMERIPRISE ADVISOR SERVICES, INC.	Jul 10, 2003	Jun 30, 2003	-10	Bulk transfer	Other

Relationships

Registered with (8)

→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: current employment
Jan 26, 2022 to presentfactForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Dec 6, 2012 to Sep 7, 2023factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Dec 6, 2012 to Oct 14, 2022factForm ADV
→ E*TRADE CAPITAL MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jun 7, 2011 to Nov 16, 2012factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
May 2, 2009 to Jun 1, 2011factForm ADV
→ WAMU INVESTMENTS, INC.Registered adviserregistration: previous registration
Nov 11, 2004 to May 2, 2009factForm ADV
→ AMERIPRISE ADVISOR SERVICES, INC.Registered adviserregistration: previous registration
Jun 30, 2003 to Nov 9, 2004factForm ADV
→ CHOREO, LLCRegistered adviserregistration: previous registration
Jul 10, 2002 to Jul 10, 2003factForm ADV

Dated events

No dated event names this entity yet.