Theron A. Schaub
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.
Theron Alexander Schaub was a registered financial professional .
Theron is a previously registered financial professional and started their career in finance in 2009. Theron 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
December 13, 2018 - April 25, 2023
FOCUS PARTNERS ADVISOR SOLUTIONS, LLC
October 29, 2018 - April 6, 2023
FORESIDE FINANCIAL SERVICES, LLC
June 21, 2011 - December 13, 2018
LWI FINANCIAL INC.
June 21, 2011 - October 29, 2018
LORING WARD SECURITIES INC.
January 3, 2011 - June 1, 2011
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - June 1, 2011
WELLS FARGO CLEARING SERVICES, LLC
September 14, 2009 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
August 28, 2009 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
Primary Firm SEC Registration
FOCUS PARTNERS ADVISOR SOLUTIONS, LLC
CRD#: 143319 / SEC#: 801-67641
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
FOCUS PARTNERS ADVISOR SOLUTIONS, LLC
CRD#: 143319 / SEC#: 801-67641
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 78,053 |
| AUM (Assets Under Management) | $ 32,238,330,999 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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