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

Aug 5, 2010earliest registration or exam on IAPD

Years in industry

16derivedfrom the industry start date

Years at current firm

1derivedfrom the current registration's begin date

Prior firms

2

Current registrations

1

Registered states

1

Exams

S63|S66

First exam

Aug 5, 2010

First registration

Jun 1, 2016

Dual registered

yes, broker-dealer

Other names

Ian W Smith|IAN WILLIAM SMITH

IAPD individual key

5256161

• Occurred

  Dec 11, 2024
  Advisor changed firm

  Ian William Smith left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Charles Schwab & Co., Inc. (registered 2025-03-11)

  Form ADVobserved 4 days ago
• Occurred

  Aug 18, 2022
  Advisor changed firm

  Ian William Smith left Advice And Planning Services for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2022-09-12)

  Form ADVobserved 4 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:b39774ca-96c3-43d7-7edf-3f00a48d509d

First observed

Jun 1, 2016

Last observed

Sep 14, 2026 5 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.