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RIA / WealthAdvisordual registered (broker-dealer)33 years in industry

Michael John Mealy

Advisor at CHARLES SCHWAB & CO., INC.

Pensacola, FL | Tampa, FL

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Search this name across graphsid dfx:ria:fc91bdc2-2de0-5d45-3da3-df441a50a507

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 1:02 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Sep 21, 1995 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: Aug 25, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Aug 25, 1993
First registration: Sep 21, 1995
Dual registered: yes, broker-dealer
Other names: Michael J Mealy|Mike Mealy
IAPD individual key: 2366606

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 19, 2024	n/a	yes	Pensacola, FL\|Tampa, FL	Current employment
SWAN CAPITAL	Independent wealth	Apr 1, 2024	Jun 25, 2024	no	PENSACOLA, FL	Previous registration
CHARLES SCHWAB & CO., INC.	National bd RIA	Mar 29, 2006	Jan 8, 2024	no	Miramar Beach, FL\|Tampa, FL\|PENSACOLA, FL\|Pensacola, FL\|Pensacola, FL\|Tampa, FL\|Boca Raton, FL\|Miramar Beach, FL\|Sarasota, FL	Previous registration
AMSOUTH INVESTMENT MANAGEMENT COMPANY LLC	n/a	Mar 28, 2005	May 9, 2005	no	PENSACOLA, FL	Previous registration
CHARLES SCHWAB & CO., INC.	National bd RIA	Sep 21, 1995	Jan 6, 2005	no	PENSACOLA, FL	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
SWAN CAPITAL	CHARLES SCHWAB & CO., INC.	Jun 25, 2024	Jul 19, 2024	24	Firm change	RIA to ibd
CHARLES SCHWAB & CO., INC.	SWAN CAPITAL	Jan 8, 2024	Apr 1, 2024	84	Firm change	Ibd to RIA
AMSOUTH INVESTMENT MANAGEMENT COMPANY LLC	CHARLES SCHWAB & CO., INC.	May 9, 2005	Mar 29, 2006	324	Firm change	Other
CHARLES SCHWAB & CO., INC.	AMSOUTH INVESTMENT MANAGEMENT COMPANY LLC	Jan 6, 2005	Mar 28, 2005	81	Firm change	Other

Relationships

Registered with (3)

→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: previous registration
Mar 29, 2006 to Jan 8, 2024factForm ADV
→ SWAN CAPITALRegistered adviserregistration: previous registration
Apr 1, 2024 to Jun 25, 2024factForm ADV
→ AMSOUTH INVESTMENT MANAGEMENT COMPANY LLCRegistered adviserregistration: previous registration
Mar 28, 2005 to May 9, 2005factForm ADV

Dated events

Occurred
Jun 25, 2024
Advisor changed firm
Michael John Mealy left Swan Capital for Charles Schwab & Co., Inc. (registered 2024-07-19)
Form ADVobserved 4 days ago
Occurred
Jan 8, 2024
Advisor changed firm
Michael John Mealy left Charles Schwab & Co., Inc. for Swan Capital (registered 2024-04-01)
Form ADVobserved 4 days ago