Niles D. Jester
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.
Niles Dewitt Jester, who also goes by Niles Dewitt Jester Jr, Niles Dewitt Jester, Niles Jester, was a registered financial professional .
Niles is a previously registered financial professional and started their career in finance in 1985. Niles had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 6, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 31, 2023 - July 26, 2025
CHARLES SCHWAB & CO., INC.
November 9, 2018 - April 19, 2021
CHARLES SCHWAB & CO., INC.
July 25, 2005 - April 13, 2018
CHARLES SCHWAB & CO., INC.
November 1, 2004 - July 19, 2005
MM ASCEND LIFE INVESTOR SERVICES, LLC
February 27, 1998 - July 21, 2004
CHARLES SCHWAB & CO., INC.
November 20, 1996 - February 20, 1998
UBS FINANCIAL SERVICES INC.
October 10, 1994 - April 12, 1996
METROPOLITAN LIFE INSURANCE COMPANY
October 10, 1994 - April 12, 1996
MSI FINANCIAL SERVICES, INC.
November 23, 1990 - October 22, 1993
METROPOLITAN LIFE INSURANCE COMPANY
November 23, 1990 - October 22, 1993
MSI FINANCIAL SERVICES, INC.
May 9, 1985 - September 30, 1987
METROPOLITAN LIFE INSURANCE COMPANY
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.
