Wylie T. Ewing
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.
Wylie Thompson Ewing, CFP®, who also goes by Wylie T Ewing, Wylie Ewing, was a registered financial professional .
Wylie is a previously registered financial professional and started their career in finance in 1988. Wylie had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10, Series 9 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2017
Experience
August 31, 2021 - November 27, 2024
CHARLES SCHWAB & CO., INC.
August 30, 2021 - November 27, 2024
CHARLES SCHWAB & CO., INC.
February 27, 2019 - January 11, 2021
TD AMERITRADE, INC.
February 25, 2019 - December 31, 2020
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
February 25, 2019 - January 11, 2021
TD AMERITRADE, INC.
June 10, 2009 - July 12, 2017
STRATEGIC ADVISERS LLC
May 15, 2009 - July 12, 2017
FIDELITY BROKERAGE SERVICES LLC
January 1, 2008 - February 18, 2009
FIDELITY BROKERAGE SERVICES LLC
September 16, 2005 - January 1, 2008
FIDELITY DISTRIBUTORS COMPANY LLC
January 10, 2003 - February 9, 2005
CHARLES SCHWAB & CO., INC.
August 11, 1998 - April 8, 2002
E*TRADE SECURITIES LLC
October 17, 1997 - June 10, 1998
BNY CLEARING SERVICES LLC
December 10, 1994 - October 6, 1997
FIDELITY DISTRIBUTORS COMPANY LLC
November 13, 1989 - December 2, 1994
FIDELITY BROKERAGE SERVICES LLC
June 21, 1988 - November 8, 1989
UBS FINANCIAL SERVICES 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
Series 8
Date: 7/22/1991
General Securities Sales Supervisor Examination (Options Module & General Module)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.
