Mary Y. Frenkel
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.
Mary Yu Frenkel, CFP®, who also goes by Mary Y Frenkel, Mary Yu Frenkel, Mary Y Wang, Mary Yu Wang, was a registered financial professional .
Mary is a previously registered financial professional and started their career in finance in 1997. Mary had worked at 7 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
Start date: 2015
Experience
April 12, 2022 - January 18, 2026
CHARLES SCHWAB & CO., INC.
April 12, 2022 - January 18, 2026
CHARLES SCHWAB & CO., INC.
November 12, 2021 - October 14, 2022
TD AMERITRADE, INC.
November 12, 2021 - September 7, 2023
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
November 12, 2021 - September 15, 2023
TD AMERITRADE, INC.
July 21, 2009 - May 5, 2020
CHARLES SCHWAB & CO., INC.
July 21, 2009 - May 5, 2020
CHARLES SCHWAB & CO., INC.
July 10, 2007 - December 31, 2007
VOYA FINANCIAL ADVISORS, INC.
March 30, 2007 - July 6, 2009
VOYA FINANCIAL ADVISORS, INC.
February 23, 2006 - March 30, 2007
LEGACY ADVISORY SERVICES, INC.
February 23, 2006 - March 30, 2007
LEGACY FINANCIAL SERVICES, INC.
September 12, 2003 - February 16, 2006
TD AMERITRADE, INC.
April 22, 2002 - February 16, 2006
TD AMERITRADE, INC.
November 25, 1997 - April 18, 2002
CHARLES SCHWAB & CO., INC.
May 13, 1997 - February 9, 1998
CAPITAL WORLD SECURITIES CORP
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.
