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MW

Martin Wasmer

Some features on this profile are disabled
CRD#: 1201458
MW

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.

Martin Wasmer, who also goes by Martin Manning Wasmer, Marty Wasmer, was a registered financial professional .

Martin is a previously registered financial professional and started their career in finance in 1983. Martin had worked at 11 firms and has passed the Series 65, Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Martin Manning Wasmer | Marty Wasmer

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) FineMark Holdings, Inc. | Investment Related: Yes | Ft Myers, FL | Banking | Board Member | Start date: 2014-06-01 | Hours Spent during Security Trading: 0 | Board Member: 4 meetings per year, in person. 2) Municipal Research Advisers | Investment Related: Yes | Naples, FL | Financial Services | Board Member | Start date: 2020-07-01 | Hours Spent during Security Trading: 0 | Board member/ oversight. 3) W5 Properties | Investment Related: No | Naples, FL | Other: Real Estate | Member | Start date: 2018-10-01 | Hours Spent during Security Trading: 0 | Managing member, investment property. 4) WSC Realty Advisors LLC | Investment Related: No | Naples, FL | Other: Real Estate Brokerage | Broker/Owner | Start date: 2002-12-26 | Hours Spent during Security Trading: 0 | Personal use, does not offer services to third parties. 5) Elaine Nicpon Marieb Foundation|Investment Related:No|2645 Davis Blvd.;Naples;FL;34104;USA|Nonprofit Charitable Organizations|Trustee|2015-04-29|HoursPerMonth:Less than 20|HoursSpentduringSecurityTrading:0|trustee 6) Financing Corporation Board of FGCU|Investment Related:No|10510 FGCU Blvd S;Fort Myers;FL;33965;USA|Real Estate (Non-Agent/Broker)|Board Member|2019-07-01|HoursPerMonth:Less than 20|HoursSpentduringSecurityTrading:0|oversight Board for the university housing

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

July 7, 2020 - December 19, 2024

CHARLES SCHWAB INVESTMENT MANAGEMENT, INC

RIA
CRD#: 106753
Naples, FL
Past

July 10, 2013 - March 11, 2014

WSC BANK ADVISORS LLC

RIA
CRD#: 167029
NAPLES, FL
Past

July 25, 1994 - November 11, 1994

KEYBANC CAPITAL MARKETS INC.

BD
CRD#: 566
Past

July 8, 1993 - May 12, 1994

CROWN FINANCIAL ASSOCIATES, INC.

BD
CRD#: 22172
Past

February 24, 1992 - July 6, 1993

FMC CAPITAL MARKETS, INC.

BD
CRD#: 15047
Past

April 4, 1990 - February 6, 1991

USF&G INVESTMENT SERVICES, INC.

BD
CRD#: 18949
Past

July 26, 1989 - April 16, 1990

F & G SECURITIES, INC.

BD
CRD#: 16364
Past

August 19, 1988 - July 2, 2020

WASMER SCHROEDER

RIA
CRD#: 105323
NAPLES, FL
Past

June 30, 1988 - April 19, 1989

MARCOTTE HUME & ASSOCIATES INCORPORATED

BD
CRD#: 16881
Past

December 26, 1984 - July 16, 1988

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
Past

October 20, 1983 - December 26, 1984

SECURITIES RESOLUTION CORPORATION

BD
CRD#: 7119

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CS
CHARLES SCHWAB INVESTMENT MANAGEMENT, INC
CHARLES SCHWAB INVESTMENT MANAGEMENT, INC | SCHWAB ASSET MANAGEMENT

CRD#: 106753 / SEC#: 801-35905

RIA
Registered Investment Advisory firm - (1/25/1990 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 6/30/2008
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/18/1983
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/15/1983
General Securities Representative Examination

Current Firm

CS
CHARLES SCHWAB INVESTMENT MANAGEMENT, INC
CHARLES SCHWAB INVESTMENT MANAGEMENT, INC | SCHWAB ASSET MANAGEMENT

CRD#: 106753 / SEC#: 801-35905

RIA
Registered Investment Advisory firm - (1/25/1990 Approved)
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Contact information

Main Address
211 Main Street, San Francisco, CA 94105
Mailing Address
Phone number
(415) 667-9200
Established
Firm type
Fiscal year end
# of Employees
877

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

CSIM DISCLOSURE BROCHURE (9/23/2025)

Regulatory assets under management

Total Number of Accounts843,555
AUM (Assets Under Management)$ 1,436,974,514,828

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
02/24/2025
Cover Page
Report
01/19/2024
Cover Page
Report
04/17/2023
Cover Page
Report

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.

Company Information

CHARLES SCHWAB INVESTMENT MANAGEMENT, INC

CRD#: 106753

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