CC
Christopher N. Caro
SCHWAB WEALTH ADVISORY
Orlando, FL 32810
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CRD#: 4927010
CC
Professional summary
Christopher Nelson Caro, who also goes by Christopher Nelson Caro, is a registered financial advisor currently at SCHWAB WEALTH ADVISORY, INC. located in Orlando, Florida and CHARLES SCHWAB & CO., INC. located in Orlando, Florida.
Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Christopher has worked at 5 firms and has passed the Series 63, Series 52TO, Series 57TO, Series 99TO, SIE, Series 55, Series 7, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Christopher Nelson Caro
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.
1) Plato's Closet | Investment Related:No|610 N Alafaya Trail |Orlando|Florida|32828|USA|Retail|Co-Owner|2/1/2023|Less than 20|0|I have no role or responsibilities with this business. My wife owns and operates the business.
CRS (Client Relationship Summary) - RIA
Click below to view Christopher Nelson Caro's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 23, 2025 - Present
SCHWAB WEALTH ADVISORY, INC.
Office #1: 1991 Summit Park Drive, Orlando, FL 32810RIA
CRD#: 159035
Orlando, FL
Current
June 6, 2025 - Present
CHARLES SCHWAB & CO., INC.
Office #1: 1991 Summit Park Drive, Orlando, FL 32810RIA
BD
CRD#: 5393
Orlando, FL
Past
April 12, 2024 - May 15, 2025
BNY MELLON CAPITAL MARKETS, LLC
BD
CRD#: 17454
LAKE MARY, FL
Past
January 2, 2014 - August 7, 2017
BNY MELLON CAPITAL MARKETS, LLC
BD
CRD#: 17454
LAKE MARY, FL
Past
April 27, 2011 - May 15, 2025
PERSHING LLC
BD
CRD#: 7560
LAKE MARY, FL
Past
March 24, 2005 - July 19, 2005
TERRA NOVA FINANCIAL, LLC
BD
CRD#: 37761
NEW YORK, NY
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".
SW
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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(8/11/2025)
RR
Alaska(8/12/2025)
RR
Arizona(8/19/2025)
RR
Arkansas(8/21/2025)
RR
California(8/14/2025)
RR
Colorado(8/12/2025)
RR
Connecticut(8/11/2025)
RR
Delaware(8/12/2025)
RR
District of Columbia(8/12/2025)
RR
Florida(6/9/2025)
IAR
Florida(6/23/2025)
RR
Georgia(8/14/2025)
RR
Hawaii(8/12/2025)
RR
Idaho(8/12/2025)
RR
Illinois(8/19/2025)
RR
Indiana(8/11/2025)
RR
Iowa(8/12/2025)
RR
Kansas(8/11/2025)
RR
Kentucky(8/12/2025)
RR
Louisiana(8/11/2025)
RR
Maine(8/11/2025)
RR
Maryland(8/12/2025)
RR
Massachusetts(10/27/2025)
RR
Michigan(8/14/2025)
RR
Minnesota(8/12/2025)
RR
Mississippi(8/12/2025)
RR
Missouri(8/12/2025)
RR
Montana(8/12/2025)
RR
Nebraska(8/11/2025)
RR
Nevada(8/12/2025)
RR
New Hampshire(8/12/2025)
RR
New Jersey(8/11/2025)
RR
New Mexico(8/12/2025)
RR
New York(8/17/2025)
RR
North Carolina(8/13/2025)
RR
North Dakota(8/15/2025)
RR
Ohio(8/15/2025)
RR
Oklahoma(8/13/2025)
RR
Oregon(8/12/2025)
RR
Pennsylvania(8/12/2025)
RR
Puerto Rico(8/29/2025)
RR
Rhode Island(8/12/2025)
RR
South Carolina(8/12/2025)
RR
South Dakota(8/11/2025)
RR
Tennessee(8/12/2025)
RR
Texas(6/19/2025)
RR
Utah(8/12/2025)
RR
Vermont(8/12/2025)
RR
Virginia(8/11/2025)
RR
Washington(8/12/2025)
RR
West Virginia(8/13/2025)
RR
Wisconsin(8/12/2025)
RR
Wyoming(8/11/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 8/1/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 10/11/2012
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
SW
SCHWAB WEALTH ADVISORY, INC.
SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. | SCHWAB WEALTH ADVISORY, INC.
CRD#: 159035 / SEC#: 801-72795
RIA
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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)
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
SCHWAB WEALTH ADVISORY, INC.
CRD#: 159035Orlando, FL 32810TRUST BUT VERIFY
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