Curtis M. Andrus
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.
Curtis Michael Andrus, who also goes by Curt Andrus, was a registered financial professional .
Curtis is a previously registered financial professional and started their career in finance in 1986. Curtis had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 4, Series 10, Series 9 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 1, 2019 - June 27, 2024
CHARLES SCHWAB & CO., INC.
September 18, 2017 - April 4, 2018
SCOTTRADE, INC.
January 30, 2017 - April 4, 2018
TD AMERITRADE CLEARING, INC.
September 28, 2015 - January 30, 2017
TD AMERITRADE CLEARING, INC.
January 16, 2014 - November 18, 2014
TD AMERITRADE CLEARING, INC.
October 20, 2009 - December 20, 2013
TD AMERITRADE CLEARING, INC.
September 28, 2009 - January 30, 2017
TD AMERITRADE, INC.
June 20, 2007 - February 11, 2009
NATIONAL FINANCIAL SERVICES LLC
March 17, 2004 - April 13, 2006
TD AMERITRADE CLEARING, INC.
January 2, 1991 - October 30, 2002
FIDELITY BROKERAGE SERVICES LLC
August 2, 1990 - December 31, 1990
FIDELITY DISTRIBUTORS CORPORATION
December 22, 1986 - July 31, 1990
FIDELITY BROKERAGE SERVICES LLC
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.
