Lynn M. Wight
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Lynn Marie Wight, who also goes by Lynn M Wight, Lynn Wight, was a registered financial professional .
Lynn is a previously registered financial professional and started their career in finance in 1983. Lynn had worked at 14 firms and has passed the Series 65, Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 26, 2022 - June 12, 2024
CHARLES SCHWAB & CO., INC.
January 26, 2022 - June 12, 2024
CHARLES SCHWAB & CO., INC.
April 13, 2016 - October 14, 2022
TD AMERITRADE, INC.
April 13, 2016 - September 7, 2023
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
January 30, 2015 - June 12, 2024
TD AMERITRADE, INC.
April 18, 2008 - February 13, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 8, 2008 - February 13, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 8, 2006 - March 7, 2007
THE CONCORD EQUITY GROUP, LLC
October 31, 2005 - March 17, 2006
FORTA FINANCIAL GROUP, INC.
March 29, 2004 - November 4, 2005
EDWARD JONES
April 6, 2000 - August 6, 2003
AMERICAN CENTURY INVESTMENT SERVICES INC.
March 3, 1997 - March 20, 2000
STATE STREET RESEARCH INVESTMENT SERVICES, INC.
January 1, 1994 - August 6, 1997
NYLIFE DISTRIBUTORS LLC
April 18, 1989 - January 1, 1994
NYLIFE SECURITIES LLC
March 3, 1987 - April 4, 1989
THOMSON MCKINNON SECURITIES INC.
October 23, 1985 - February 7, 1987
CITIGROUP GLOBAL MARKETS INC.
July 20, 1983 - October 21, 1985
FIRST JERSEY SECURITIES, INC.
Primary Firm SEC Registration
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHWAB HOLDINGS, INC. | 100% OWNER | |
| BEATTY, JONATHAN SCOTT | DIRECTOR, MANAGING DIRECTOR AND HEAD OF ADVISOR SERVICES | 2429276 |
| CRAIG, JONATHAN M | PRESIDENT, DIRECTOR, MANAGING DIRECTOR AND HEAD OF INVESTOR SERVICES AND MARKETING | 4144656 |
| HATHI, NEESHA K | MANAGING DIRECTOR HEAD OF WEALTH & ADVICE SOLUTIONS | 2648997 |
| HOWARD, DENNIS WILLARD | MANAGING DIRECTOR AND CHIEF INFORMATION OFFICER | 6403083 |
| NICHOLS, CHARLES | MANAGING DIRECTOR AND BROKER DEALER & INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER | 4811434 |
| STARR, JEFFREY HAROLD | MANAGING DIRECTOR, AND OPERATIONAL SERVICES AND PRINCIPAL OPERATIONS OFFICER | 4700461 |
| VERDESCHI, MICHAEL DANIEL | MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 4570777 |
Disclosures
| Regulatory Event | 58 |
| Civil Event | 3 |
| Arbitration | 248 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/24/2025 | ||
| 01/19/2024 | ||
| 04/14/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
