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RIA / WealthAdvisordual registered (broker-dealer)11 years in industry

RICKY BURROUGHS

Advisor at CHARLES SCHWAB & CO., INC.

Brookfield, WI

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Search this name across graphsid dfx:ria:d8cb863a-69ee-9f58-a3fd-6054027a2675

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:24 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Aug 28, 2015 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: Aug 28, 2015earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Aug 28, 2015
First registration: Aug 28, 2015
Dual registered: yes, broker-dealer
Other names: Ricky Burroughs|Ricky W Burroughs
IAPD individual key: 6331203

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 13, 2026	n/a	yes	Brookfield, WI	Current employment
STRATEGIC ADVISERS LLC	National bd RIA	Mar 31, 2025	Aug 10, 2026	no	BROOKFIELD, WI\|GREENDALE, WI\|MEQUON, WI\|BOSTON, MA	Previous registration
FIDELITY PERSONAL AND WORKPLACE ADVISORS	Former SEC adviser	May 22, 2023	Mar 31, 2025	no	MEQUON, WI	Previous registration
U.S. BANCORP INVESTMENTS, INC.	Former SEC adviser	Apr 25, 2018	May 4, 2023	no	Mequon, WI\|Milwaukee, WI	Previous registration
BMO HARRIS FINANCIAL ADVISORS, INC	Former SEC adviser	Aug 28, 2015	Jan 6, 2016	no	BROOKFIELD, WI	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
STRATEGIC ADVISERS LLC	CHARLES SCHWAB & CO., INC.	Aug 10, 2026	Aug 13, 2026	3	Firm change	Ibd to ibd
FIDELITY PERSONAL AND WORKPLACE ADVISORS	STRATEGIC ADVISERS LLC	Mar 31, 2025	Mar 31, 2025	0	Bulk transfer	Ibd to ibd
U.S. BANCORP INVESTMENTS, INC.	FIDELITY PERSONAL AND WORKPLACE ADVISORS	May 4, 2023	May 22, 2023	18	Firm change	Ibd to ibd
BMO HARRIS FINANCIAL ADVISORS, INC	U.S. BANCORP INVESTMENTS, INC.	Jan 6, 2016	Apr 25, 2018	840	Firm change after gap	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
104555:5393:MA:2026-07-13	Aug 10, 2026	Aug 13, 2026	BOSTON, MA	Firm change

Relationships

Registered with (5)

→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: current employment
Aug 13, 2026 to presentfactForm ADV
→ STRATEGIC ADVISERS LLCRegistered adviserregistration: previous registration
Mar 31, 2025 to Aug 10, 2026factForm ADV
→ FIDELITY PERSONAL AND WORKPLACE ADVISORSRegistered adviserregistration: previous registration
May 22, 2023 to Mar 31, 2025factForm ADV
→ U.S. BANCORP INVESTMENTS, INC.Registered adviserregistration: previous registration
Apr 25, 2018 to May 4, 2023factForm ADV
→ BMO HARRIS FINANCIAL ADVISORS, INCRegistered adviserregistration: previous registration
Aug 28, 2015 to Jan 6, 2016factForm ADV

Dated events

Occurred
Aug 10, 2026
Advisor changed firm
Ricky Burroughs left Strategic Advisers Llc for Charles Schwab & Co., Inc. (registered 2026-08-13)
Form ADVobserved 5 days ago
Occurred
May 4, 2023
Advisor changed firm
Ricky Burroughs left U.S. Bancorp Investments, Inc. for Fidelity Personal And Workplace Advisors (registered 2023-05-22)
Form ADVobserved 5 days ago