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RIA / WealthAdvisordual registered (broker-dealer)14 years in industry

Christopher John McCarthy

Advisor at CHARLES SCHWAB & CO., INC.

Chicago, IL

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Search this name across graphsid dfx:ria:d6fddbea-5ce2-9dbd-1d01-a9ee173f8ab4

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 3:44 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Mar 18, 2013 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: Dec 27, 2011earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S63|S66
First exam: Dec 27, 2011
First registration: Mar 18, 2013
Dual registered: yes, broker-dealer
Other names: Christopher McCarthy
IAPD individual key: 5903887

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 27, 2022	n/a	yes	Chicago, IL\|Chicago, IL	Current employment
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Mar 28, 2016	Sep 7, 2023	no	Schaumburg, IL\|Chicago, IL\|CHICAGO, IL	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Mar 28, 2016	Oct 14, 2022	no	Schaumburg, IL\|Chicago, IL	Previous registration
INVESTMENT PROFESSIONALS, INC.	Former SEC adviser	May 12, 2015	Mar 11, 2016	no	SAN ANTONIO, TX\|CHICAGO, IL	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Mar 18, 2013	Apr 28, 2015	no	CHICAGO, IL\|CHICAGO, IL	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 27, 2022	-588	Bulk transfer	RIA to ibd
TD AMERITRADE, INC.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Oct 14, 2022	Mar 28, 2016	-2,391	Bulk transfer	Other
INVESTMENT PROFESSIONALS, INC.	TD AMERITRADE, INC.	Mar 11, 2016	Mar 28, 2016	17	Firm change	Other
WELLS FARGO ADVISORS	INVESTMENT PROFESSIONALS, INC.	Apr 28, 2015	May 12, 2015	14	Firm change	Other

Relationships

Registered with (5)

→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: current employment
Jan 27, 2022 to presentfactForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Mar 28, 2016 to Sep 7, 2023factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Mar 28, 2016 to Oct 14, 2022factForm ADV
→ INVESTMENT PROFESSIONALS, INC.Registered adviserregistration: previous registration
May 12, 2015 to Mar 11, 2016factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Mar 18, 2013 to Apr 28, 2015factForm ADV

Dated events

No dated event names this entity yet.