Marianne E. Landon
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.
Marianne Elizabeth Landon, who also goes by Marianne Elizabeth Agnew, Marianne Landon, Marianne Wells, was a registered financial professional .
Marianne is a previously registered financial professional and started their career in finance in 2001. Marianne had worked at 7 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 3, Series 7, Series 6, Series 4, Series 53, Series 51 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
January 11, 2021 - June 26, 2026
CHARLES SCHWAB & CO., INC.
June 16, 2016 - December 31, 2020
TD AMERITRADE CLEARING, INC.
December 17, 2015 - May 3, 2016
TD AMERITRADE CLEARING, INC.
December 14, 2015 - January 12, 2021
TD AMERITRADE, INC.
January 25, 2007 - August 31, 2015
TD AMERITRADE, INC.
January 25, 2007 - August 31, 2015
TD AMERITRADE, INC.
June 1, 2006 - November 20, 2006
OSAIC WEALTH, INC.
April 11, 2003 - May 12, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
January 30, 2003 - May 12, 2006
IDS LIFE INSURANCE COMPANY
January 30, 2003 - May 12, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
May 4, 2001 - July 3, 2001
FORESIDE FUNDS DISTRIBUTORS LLC
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
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent 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.
