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RIA / WealthAdvisordual registered (broker-dealer)34 years in industry

CANDICE D SAGEHORN

Advisor at CHARLES SCHWAB & CO., INC.

Pacific Grove, CA | Westlake, TX

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Search this name across graphsid dfx:ria:dae6c60f-1f7e-75bb-554a-bf2f2610a89a

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:58 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jul 8, 1997 to Sep 15, 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 4, 1992earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 15derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66|S63
First exam: Feb 4, 1992
First registration: Jul 8, 1997
Dual registered: yes, broker-dealer
Other names: CANDICE DIANE FARACE|CANDICE D FARACE
IAPD individual key: 2133626

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	Mar 16, 2011	n/a	yes	Pacific Grove, CA\|Westlake, TX	Current employment
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Mar 9, 2011	no	Newport Beach, CA	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Jul 21, 2003	Jun 1, 2009	no	NEWPORT BEACH, CA\|NEWPORT BEACH, CA	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Jul 8, 1997	Jun 25, 2003	no	LOS ANGELES, CA	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
MORGAN STANLEY	CHARLES SCHWAB & CO., INC.	Mar 9, 2011	Mar 16, 2011	7	Firm change	Wirehouse to ibd
CITIGROUP GLOBAL MARKETS INC.	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
UBS FINANCIAL SERVICES INC.	CITIGROUP GLOBAL MARKETS INC.	Jun 25, 2003	Jul 21, 2003	26	Firm change	Other

Relationships

Registered with (4)

→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: current employment
Mar 16, 2011 to presentfactForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Mar 9, 2011factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Jul 21, 2003 to Jun 1, 2009factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Jul 8, 1997 to Jun 25, 2003factForm ADV

Dated events

No dated event names this entity yet.