Charlotte J. Irons
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.
Charlotte Johanna Irons, who also goes by Charlotte Johanna Irans, Charlotte Johanna Wright, was a registered financial professional .
Charlotte is a previously registered financial professional and started their career in finance in 2002. Charlotte had worked at 6 firms and has passed the Series 66, 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
Experience
March 9, 2022 - January 10, 2024
CHARLES SCHWAB & CO., INC.
January 26, 2022 - January 10, 2024
CHARLES SCHWAB & CO., INC.
February 20, 2015 - September 7, 2023
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
February 16, 2015 - October 14, 2022
TD AMERITRADE, INC.
February 12, 2015 - December 20, 2023
TD AMERITRADE, INC.
July 22, 2005 - February 17, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 22, 2005 - February 17, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 8, 2004 - January 3, 2005
CHARLES SCHWAB & CO., INC.
June 4, 2004 - January 3, 2005
CHARLES SCHWAB & CO., INC.
February 12, 2004 - May 25, 2004
AMSOUTH INVESTMENT MANAGEMENT COMPANY LLC
November 13, 2003 - May 19, 2004
AMSOUTH INVESTMENT SERVICES, INC.
July 29, 2002 - October 22, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 22, 2002 - October 22, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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.
