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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)17 years in industry

Patrick Maj

Advisor at CHARLES SCHWAB & CO., INC.

Las Vegas, NV | Henderson, NV

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Search this name across graphsid dfx:ria:b6a4d876-e5e3-0e01-9104-b243fd43e1d4

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:32 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Jun 6, 2011 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 24, 2009earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S66|S63
First exam: Mar 24, 2009
First registration: Jun 6, 2011
Dual registered: yes, broker-dealer
IAPD individual key: 5558276

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 17, 2017	n/a	yes	Henderson, NV\|Las Vegas, NV	Current employment
J.P. MORGAN SECURITIES LLC	Wirehouse	Nov 8, 2016	Jul 26, 2017	no	LAS VEGAS, NV\|LAS VEGAS, NV\|LAS VEGAS, NV\|LAS VEGAS, NV\|LAS VEGAS, NV\|LAS VEGAS, NV\|LAS VEGAS, NV\|Las Vegas, NV	Previous registration
ARISTA WEALTH MANAGEMENT, LLC	Independent wealth	Aug 11, 2016	Oct 5, 2016	no	LAS VEGAS, NV	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Oct 29, 2015	Aug 3, 2016	no	LAS VEGAS, NV	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Aug 25, 2015	Oct 6, 2015	no	LAS VEGAS, NV	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Aug 25, 2015	Oct 6, 2015	no	LAS VEGAS, NV	Previous registration
CHARLES SCHWAB & CO., INC.	National bd RIA	Jun 6, 2011	Aug 24, 2015	no	ENGLEWOOD, CO\|ENGLEWOOD, CO\|ENGLEWOOD, CO\|ENGLEWOOD, CO\|ENGLEWOOD, CO\|Lone Tree, CO\|Las Vegas, NV	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
J.P. MORGAN SECURITIES LLC	CHARLES SCHWAB & CO., INC.	Jul 26, 2017	Aug 17, 2017	22	Firm change	Wirehouse to ibd
ARISTA WEALTH MANAGEMENT, LLC	J.P. MORGAN SECURITIES LLC	Oct 5, 2016	Nov 8, 2016	34	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	ARISTA WEALTH MANAGEMENT, LLC	Aug 3, 2016	Aug 11, 2016	8	Firm change	Other
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	TD AMERITRADE, INC.	Oct 6, 2015	Aug 25, 2015	-42	Channel change	Other
TD AMERITRADE, INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Oct 6, 2015	Oct 29, 2015	23	Firm change	Other
CHARLES SCHWAB & CO., INC.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Aug 24, 2015	Aug 25, 2015	1	Firm change	Other

Relationships

Registered with (6)

→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: previous registration
Jun 6, 2011 to Aug 24, 2015factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Nov 8, 2016 to Jul 26, 2017factForm ADV
→ ARISTA WEALTH MANAGEMENT, LLCRegistered adviserregistration: previous registration
Aug 11, 2016 to Oct 5, 2016factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Oct 29, 2015 to Aug 3, 2016factForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Aug 25, 2015 to Oct 6, 2015factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Aug 25, 2015 to Oct 6, 2015factForm ADV

Dated events

No dated event names this entity yet.