DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

Steven Michael Blume

Advisor at CHARLES SCHWAB & CO., INC.

Chicago, IL | Prior Lake, MN

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:b2fc669f-ed2b-48cb-2ba8-c96b0471b228

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:59 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Nov 19, 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: Mar 23, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Mar 23, 1998
First registration: Nov 19, 2002
Dual registered: yes, broker-dealer
Other names: Steve Blume|Steven Blume
IAPD individual key: 2226071

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	Aug 14, 2022	n/a	yes	Prior Lake, MN\|Chicago, IL	Current employment
U.S. BANCORP INVESTMENTS, INC.	Former SEC adviser	Feb 6, 2020	Oct 29, 2021	no	Minneapolis, MN	Previous registration
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC	Bd affiliated wealth	Sep 4, 2018	Mar 19, 2019	no	PLYMOUTH, MN	Previous registration
RBC CAPITAL MARKETS, LLC	National bd RIA	Oct 2, 2013	Jul 18, 2018	no	MINNEAPOLIS, MN\|MINNEAPOLIS, MN	Previous registration
RUSSELL INVESTMENTS	Asset manager	Dec 16, 2010	Apr 1, 2013	no	MAPLE GROVE, MN	Previous registration
RBC CAPITAL MARKETS, LLC	National bd RIA	Nov 19, 2002	Dec 17, 2010	no	MINNEAPOLIS, MN\|NEW YORK, NY\|MINNEAPOLIS, MN	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
U.S. BANCORP INVESTMENTS, INC.	CHARLES SCHWAB & CO., INC.	Oct 29, 2021	Aug 14, 2022	289	Firm change	Ibd to ibd
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC	U.S. BANCORP INVESTMENTS, INC.	Mar 19, 2019	Feb 6, 2020	324	Firm change	Ibd to ibd
RBC CAPITAL MARKETS, LLC	WEALTH ENHANCEMENT ADVISORY SERVICES, LLC	Jul 18, 2018	Sep 4, 2018	48	Firm change	Ibd to ibd
RUSSELL INVESTMENTS	RBC CAPITAL MARKETS, LLC	Apr 1, 2013	Oct 2, 2013	184	Firm change	Other
RBC CAPITAL MARKETS, LLC	RUSSELL INVESTMENTS	Dec 17, 2010	Dec 16, 2010	-1	Firm change	Other

Relationships

Registered with (5)

→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: current employment
Aug 14, 2022 to presentfactForm ADV
→ U.S. BANCORP INVESTMENTS, INC.Registered adviserregistration: previous registration
Feb 6, 2020 to Oct 29, 2021factForm ADV
→ WEALTH ENHANCEMENT ADVISORY SERVICES, LLCRegistered adviserregistration: previous registration
Sep 4, 2018 to Mar 19, 2019factForm ADV
→ RBC CAPITAL MARKETS, LLCRegistered adviserregistration: previous registration
Oct 2, 2013 to Jul 18, 2018factForm ADV
→ RUSSELL INVESTMENTSRegistered adviserregistration: previous registration
Dec 16, 2010 to Apr 1, 2013factForm ADV

Dated events

No dated event names this entity yet.