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RIA / WealthAdvisordual registered (broker-dealer)37 years in industry

Vincent Patrick Gugliemini

Advisor at CHARLES SCHWAB & CO., INC.

Millburn, NJ

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Search this name across graphsid dfx:ria:c2162bdf-32c7-8e7e-0db6-14211fc4ea4b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 2:31 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jun 27, 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: Feb 6, 1989earliest registration or exam on IAPD
Years in industry: 37derivedfrom the industry start date
Years at current firm: 22derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Feb 6, 1989
First registration: Jun 27, 2002
Dual registered: yes, broker-dealer
IAPD individual key: 1855750

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	Jun 18, 2004	n/a	yes	Millburn, NJ	Current employment
AMERIPRISE ADVISOR SERVICES, INC.	n/a	Oct 27, 2003	Jul 1, 2004	no	SUMMIT, NJ	Previous registration
QUICK & REILLY, INC.	n/a	Jan 13, 2003	Oct 31, 2003	no	SUMMIT, NJ	Previous registration
PRUDENTIAL EQUITY GROUP, LLC	n/a	Jun 27, 2002	Feb 18, 2003	no	BEDMINSTER, NJ	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
AMERIPRISE ADVISOR SERVICES, INC.	CHARLES SCHWAB & CO., INC.	Jul 1, 2004	Jun 18, 2004	-13	Firm change	Other
QUICK & REILLY, INC.	AMERIPRISE ADVISOR SERVICES, INC.	Oct 31, 2003	Oct 27, 2003	-4	Firm change	Other
PRUDENTIAL EQUITY GROUP, LLC	QUICK & REILLY, INC.	Feb 18, 2003	Jan 13, 2003	-36	Firm change after gap	Other

Relationships

Registered with (4)

→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: current employment
Jun 18, 2004 to presentfactForm ADV
→ AMERIPRISE ADVISOR SERVICES, INC.Registered adviserregistration: previous registration
Oct 27, 2003 to Jul 1, 2004factForm ADV
→ QUICK & REILLY, INC.Registered adviserregistration: previous registration
Jan 13, 2003 to Oct 31, 2003factForm ADV
→ PRUDENTIAL EQUITY GROUP, LLCRegistered adviserregistration: previous registration
Jun 27, 2002 to Feb 18, 2003factForm ADV

Dated events

No dated event names this entity yet.