Eric T. Deffenbaugh
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.
Eric Todd Deffenbaugh was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 1998. Eric had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24, Series 53, 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 18, 2015 - July 6, 2025
CHARLES SCHWAB & CO., INC.
March 17, 2015 - July 6, 2025
CHARLES SCHWAB & CO., INC.
August 15, 2014 - October 24, 2014
ASSETMARK BROKERAGE, LLC
December 3, 2013 - August 15, 2014
CAPITAL BROKERAGE CORPORATION
January 14, 2011 - October 30, 2014
ASSETMARK, INC.
January 7, 2011 - November 14, 2013
CAPITAL BROKERAGE CORPORATION
February 23, 2006 - December 3, 2010
MML INVESTORS SERVICES, LLC
February 3, 2006 - December 3, 2010
MML INVESTORS SERVICES, LLC
March 28, 2005 - November 3, 2005
USAA INVESTMENT SERVICES COMPANY
June 10, 2004 - November 3, 2005
USAA INVESTMENT SERVICES COMPANY
February 20, 2003 - January 16, 2004
BANC ONE SECURITIES CORPORATION
September 1, 1998 - January 7, 2003
CHARLES SCHWAB & CO., 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
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.
