Charles H. Daggs

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CRD#: 2896578

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.

Charles H Daggs III, who also goes by Charles H Daggs, Charles Howard Daggs III, was a registered financial professional .

Charles is a previously registered financial professional and started their career in finance in 1997. Charles had worked at 8 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Charles H Daggs | Charles Howard Daggs Iii

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

September 20, 2016 - September 17, 2017

SCHWAB WEALTH ADVISORY, INC.

RIA

CRD#: 159035

Phoenix, AZ

Past

September 12, 2016 - September 17, 2017

CHARLES SCHWAB & CO., INC.

CRD#: 5393

PHOENIX, AZ

Past

July 1, 2014 - August 16, 2016

VANGUARD ADVISERS, INC.

RIA

CRD#: 106715

SCOTTSDALE, AZ

Past

February 9, 2004 - March 6, 2013

VANGUARD ADVISERS, INC.

RIA

CRD#: 106715

SCOTSDALE, AZ

Past

January 12, 2004 - August 16, 2016

VANGUARD MARKETING CORPORATION

CRD#: 7452

SCOTTSDALE, AZ

Past

December 3, 2002 - January 17, 2003

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

March 7, 2002 - January 15, 2004

WS GRIFFITH SECURITIES, INC.

CRD#: 10410

HARTFORD, CT

Past

June 4, 1997 - December 3, 1997

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

June 4, 1997 - December 3, 1997

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SCHWAB WEALTH ADVISORY, INC.

SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. | SCHWAB WEALTH ADVISORY, INC.

CRD#: 159035 / SEC#: 801-72795

RIA

Registered Investment Advisory firm - (12/9/2011 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 3/6/2002

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 10/21/1998

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 9/17/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/22/2003

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/6/2002

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/19/2007

General Securities Principal Examination

Current Firm

SCHWAB WEALTH ADVISORY, INC.

SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. | SCHWAB WEALTH ADVISORY, INC.

CRD#: 159035 / SEC#: 801-72795

RIA

Registered Investment Advisory firm - (12/9/2011 Approved)

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Contact information

Main Address

211 Main Street, San Francisco, CA 94105-1901

Mailing Address

Phone number

(415) 667-7000

Established

Firm type

Fiscal year end

# of Employees

1,042

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SCHWAB WEALTH ADVISORY, INC. DISCLOSURE BROCHURE (9/23/2025)

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.

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Charles H. Daggs

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CHARLES SCHWAB & CO., INC.

VANGUARD ADVISERS, INC.

VANGUARD ADVISERS, INC.

VANGUARD MARKETING CORPORATION

OSAIC WEALTH, INC.

WS GRIFFITH SECURITIES, INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

SCHWAB WEALTH ADVISORY, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/6/2002

Series 65

Date: 10/21/1998

SIE

Date: 9/17/2017

Series 7

Date: 5/22/2003

Series 6

Date: 3/6/2002

Series 24

Date: 3/19/2007

Current Firm

SCHWAB WEALTH ADVISORY, INC.

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Red Flags

Company Information

SCHWAB WEALTH ADVISORY, INC.

TRUST BUT VERIFY

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