Xia-xiannee X. Elizalde
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.
Xia-xiannee Xiannee Elizalde, who also goes by XIa Xiannee Elizalde, Xia Elizalde, Xia Xiannee Elizalde, Xia-xiannee Elizalde, Xia-xiannee Lucia, was a registered financial professional .
Xia-xiannee is a previously registered financial professional and started their career in finance in 2014. Xia-xiannee had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 26, 2022 - May 24, 2022
CHARLES SCHWAB & CO., INC.
January 26, 2022 - May 24, 2022
CHARLES SCHWAB & CO., INC.
July 23, 2021 - June 18, 2022
TD AMERITRADE, INC.
July 23, 2021 - June 18, 2022
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
July 23, 2021 - June 18, 2022
TD AMERITRADE, INC.
March 17, 2020 - July 23, 2021
CHARLES SCHWAB & CO., INC.
March 17, 2020 - July 23, 2021
CHARLES SCHWAB & CO., INC.
August 29, 2019 - February 27, 2020
J.P. MORGAN SECURITIES LLC
July 13, 2018 - May 24, 2019
FIDELITY PERSONAL AND WORKPLACE ADVISORS
November 5, 2015 - July 13, 2018
STRATEGIC ADVISERS LLC
October 20, 2015 - May 22, 2019
FIDELITY BROKERAGE SERVICES LLC
November 5, 2014 - October 7, 2015
T. ROWE PRICE INVESTMENT SERVICES, 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.
