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RIA / WealthAdvisordual registered (broker-dealer)13 years in industry

Spencer Gordon Daw

Advisor at CHARLES SCHWAB & CO., INC.

Seattle, WA

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Search this name across graphsid dfx:ria:f3d5e1de-4e3d-83bf-7792-8d5caed3c076

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:48 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 3
On other graphs: 0
Observed: Feb 4, 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: Jan 1, 2013earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Exams: S63|S66
First exam: Feb 1, 2013
First registration: Feb 4, 2013
Dual registered: yes, broker-dealer
Other names: SPENCER DAW|Spencer G Daw|Spencer Gordon Daw|Spencer G. Daw
IAPD individual key: 5912420

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 2, 2026	n/a	yes	Seattle, WA	Current employment
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Mar 27, 2025	Dec 18, 2025	no	BELLEVUE, WA\|TACOMA, WA	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Aug 31, 2023	Mar 12, 2025	no	LACEY, WA\|LACEY, WA\|OLYMPIA, WA	Previous registration
POLARIS WEALTH ADVISORY GROUP	Former SEC adviser	Oct 18, 2019	Jul 13, 2023	no	Houston, TX\|HOUSTON, TX	Previous registration
ADVICE AND PLANNING SERVICES	Bd affiliated wealth	Mar 22, 2018	Aug 12, 2019	no	SALT LAKE CITY, UT	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Feb 4, 2013	Jun 21, 2017	no	DRAPER, UT	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Feb 4, 2013	Jun 21, 2017	no	DRAPER, UT\|Draper, UT\|Omaha, NE	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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	CHARLES SCHWAB & CO., INC.	Dec 18, 2025	Jan 2, 2026	15	Firm change	Wirehouse to ibd
J.P. MORGAN SECURITIES LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Mar 12, 2025	Mar 27, 2025	15	Firm change	Wirehouse to wirehouse
POLARIS WEALTH ADVISORY GROUP	J.P. MORGAN SECURITIES LLC	Jul 13, 2023	Aug 31, 2023	49	Firm change	RIA to wirehouse
ADVICE AND PLANNING SERVICES	POLARIS WEALTH ADVISORY GROUP	Aug 12, 2019	Oct 18, 2019	67	Firm change	Ibd to RIA
TD AMERITRADE, INC.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Jun 21, 2017	Feb 4, 2013	-1,598	Channel change	Other
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	TD AMERITRADE, INC.	Jun 21, 2017	Feb 4, 2013	-1,598	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
79:7691:WA:2025-03-09	Mar 12, 2025	Mar 27, 2025	OLYMPIA, WA	Firm change
111514:7870:UT:2017-06-12	Jun 21, 2017	Feb 4, 2013	DRAPER, UT	Firm change after gap

Relationships

Registered with (7)

→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: current employment
Jan 2, 2026 to presentfactForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Mar 27, 2025 to Dec 18, 2025factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Aug 31, 2023 to Mar 12, 2025factForm ADV
→ POLARIS WEALTH ADVISORY GROUPRegistered adviserregistration: previous registration
Oct 18, 2019 to Jul 13, 2023factForm ADV
→ ADVICE AND PLANNING SERVICESRegistered adviserregistration: previous registration
Mar 22, 2018 to Aug 12, 2019factForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Feb 4, 2013 to Jun 21, 2017factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Feb 4, 2013 to Jun 21, 2017factForm ADV

Dated events

Occurred
Dec 18, 2025
Advisor changed firm
Spencer Gordon Daw left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Charles Schwab & Co., Inc. (registered 2026-01-02)
Form ADVobserved 3 days ago
Occurred
Mar 12, 2025
Advisor changed firm
Spencer Gordon Daw left J.P. Morgan Securities Llc for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2025-03-27)
Form ADVobserved 3 days ago
Occurred
Jul 13, 2023
Advisor changed firm
Spencer Gordon Daw left Polaris Wealth Advisory Group for J.P. Morgan Securities Llc (registered 2023-08-31)
Form ADVobserved 3 days ago