Alisse R. Dulaney
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.
Alisse Rochard Dulaney, who also goes by Alisse Dulaney, was a registered financial professional .
Alisse is a previously registered financial professional and started their career in finance in 1998. Alisse had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 27, 2021 - March 16, 2025
CHARLES SCHWAB & CO., INC.
April 27, 2021 - March 16, 2025
CHARLES SCHWAB & CO., INC.
September 21, 2020 - December 22, 2020
T. ROWE PRICE ADVISORY SERVICES, INC.
September 21, 2020 - December 22, 2020
T. ROWE PRICE INVESTMENT SERVICES, INC.
June 8, 2020 - June 12, 2020
USAA INVESTMENT SERVICES COMPANY
July 25, 2019 - June 12, 2020
USAA INVESTMENT SERVICES COMPANY
July 25, 2019 - June 8, 2020
USAA FINANCIAL ADVISORS, INC.
January 8, 2018 - October 19, 2018
USAA INVESTMENT SERVICES COMPANY
April 22, 2010 - January 8, 2018
USAA FINANCIAL PLANNING SERVICES
September 25, 2007 - October 18, 2018
USAA FINANCIAL ADVISORS, INC.
September 25, 2003 - April 26, 2010
USAA INVESTMENT SERVICES COMPANY
September 25, 2003 - December 31, 2007
USAA INVESTMENT SERVICES COMPANY
June 14, 2002 - January 21, 2003
ADVISORS ASSET MANAGEMENT, INC.
January 8, 1999 - June 13, 2002
USAA INVESTMENT SERVICES COMPANY
January 5, 1999 - June 13, 2002
USAA INVESTMENT SERVICES COMPANY
March 24, 1998 - December 2, 1998
A. G. EDWARDS & SONS, 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.
