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RIA / WealthAdvisordual registered (broker-dealer)12 years in industry

Charles O Hopkins

Advisor at CHARLES SCHWAB & CO., INC.

Phoenix, AZ

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Search this name across graphsid dfx:ria:e0dd2ce2-5ee9-6350-b8c1-bda8f555dc30

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:39 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Oct 22, 2014 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: May 1, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Oct 21, 2014
First registration: Oct 22, 2014
Dual registered: yes, broker-dealer
Other names: Charles Otis Hopkins|CHARLES O HOPKINS|Charles Hopkins
IAPD individual key: 6346880

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	Jul 31, 2025	n/a	yes	Phoenix, AZ	Current employment
BMO DIRECT INVEST INC.	Former SEC adviser	Aug 24, 2023	Oct 29, 2024	no	Phoenix, AZ	Previous registration
BANCWEST INVESTMENT SERVICES, INC. (BWIS)	Former SEC adviser	May 3, 2018	Aug 8, 2023	no	TEMPE, AZ\|OMAHA, NE	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Oct 22, 2014	May 14, 2018	no	CHANDLER, AZ	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
BMO DIRECT INVEST INC.	CHARLES SCHWAB & CO., INC.	Oct 29, 2024	Jul 31, 2025	275	Firm change	RIA to ibd
BANCWEST INVESTMENT SERVICES, INC. (BWIS)	BMO DIRECT INVEST INC.	Aug 8, 2023	Aug 24, 2023	16	Channel change	Ibd to RIA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	BANCWEST INVESTMENT SERVICES, INC. (BWIS)	May 14, 2018	May 3, 2018	-11	Firm change	Wirehouse to ibd

Relationships

Registered with (4)

→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: current employment
Jul 31, 2025 to presentfactForm ADV
→ BMO DIRECT INVEST INC.Registered adviserregistration: previous registration
Aug 24, 2023 to Oct 29, 2024factForm ADV
→ BANCWEST INVESTMENT SERVICES, INC. (BWIS)Registered adviserregistration: previous registration
May 3, 2018 to Aug 8, 2023factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Oct 22, 2014 to May 14, 2018factForm ADV

Dated events

Occurred
Oct 29, 2024
Advisor changed firm
Charles O Hopkins left Bmo Direct Invest Inc. for Charles Schwab & Co., Inc. (registered 2025-07-31)
Form ADVobserved 6 days ago