Nicholas J. Clendenin
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.
Nicholas James Clendenin, who also goes by Nick Clendenin, was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 1991. Nicholas had worked at 11 firms and has passed the Series 65, 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
October 31, 2014 - January 17, 2026
CHARLES SCHWAB & CO., INC.
October 24, 2014 - January 17, 2026
CHARLES SCHWAB & CO., INC.
July 22, 2008 - September 11, 2013
CREDIT SUISSE SECURITIES (USA) LLC
December 11, 2006 - September 11, 2013
CREDIT SUISSE SECURITIES (USA) LLC
November 1, 2004 - December 5, 2006
JEFFERIES LLC
October 3, 2003 - November 1, 2004
BONDS DIRECT SECURITIES LLC
August 14, 2003 - August 19, 2003
MORGAN KEEGAN & COMPANY, LLC
July 28, 2003 - August 19, 2003
MORGAN KEEGAN & COMPANY, LLC
December 12, 2000 - January 13, 2001
DB ALEX. BROWN LLC
March 16, 2000 - May 16, 2003
DEUTSCHE BANK SECURITIES INC.
June 11, 1996 - March 3, 2000
PERSHING LLC
November 8, 1993 - June 3, 1996
ALEX. BROWN & SONS INCORPORATED
August 31, 1992 - November 4, 1993
PRINCIPAL FINANCIAL SECURITIES,INC.
April 4, 1991 - May 14, 1991
CAPITAL ONE INVESTMENTS, 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 | 251 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/23/2026 | ||
| 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.
