William C. Swerbenski
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.
William Charles Swerbenski JR., who also goes by Bill Swerbenski, William Charles Swerbenski Jr, William Charles Swerbenski, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1994. William had worked at 5 firms and has passed the Series 66, Series 63, Series 7 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 10, 2022 - January 9, 2024
CHARLES SCHWAB INVESTMENT MANAGEMENT, INC
February 22, 2018 - March 10, 2022
CHARLES SCHWAB INVESTMENT ADVISORY, INC
March 28, 2011 - March 30, 2018
WINDHAVEN INVESTMENT MANAGEMENT, INC.
October 4, 2004 - February 23, 2011
CHARLES SCHWAB & CO., INC.
July 19, 1994 - July 7, 1999
CHAMPION SECURITIES COMPANY L.L.C.
Primary Firm SEC Registration
CHARLES SCHWAB INVESTMENT MANAGEMENT, INC
CRD#: 106753 / SEC#: 801-35905
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 INVESTMENT MANAGEMENT, INC
CRD#: 106753 / SEC#: 801-35905
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 843,555 |
| AUM (Assets Under Management) | $ 1,436,974,514,828 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/23/2026 | ||
| 02/24/2025 | ||
| 01/19/2024 | ||
| 04/17/2023 |
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.
