CN
Cheick O. Niangadou
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CRD#: 6865431
CN
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.
Cheick O Niangadou was a registered financial professional .
Cheick is a previously registered financial professional and started their career in finance in 2017. Cheick had worked at 3 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
Name of Outside Business:GrubHub,Inc; Investment Related:No; Address of Outside Business:Omaha, Nebraska; Nature of Outside Business:Service Industry; Position:Delivery Driver; Start Date:6/22/2017; Hours per month: 20-40; Hours per month during securities trading hours: No; Description of Duties: I deliver food through The GrubHub Driver app on my phone and get orders from restaurants to deliver food to diners (just like Lyft or Uber except it is for food deliveries not customers for rides). Also, I do not have to necessarily pick a schedule up to work (turn on/turn off as desired) although, it is possible when desired to get schedules and hourly rates).Name of Outside Business:Eastern Nebraska Human Services Agency/ ENCOR; Investment Related:No; Address of Outside Business:Omaha, Nebraska; Nature of Outside Business:Other; Position:Direct Support Prof.; Start Date:7/14/2017; Hours per month: 150+; Hours per month during securities trading hours: No; Description of Duties: I assist adults with intellectual and developmental disabilities, live the best life they can live or want to live on the residential setting. I also help assist with community integration (We go to public events, we go to shopping malls, grocery stores etc...). In a nutshell, we interact with the public as much as possible on the weekends. I am also CPR, FIRST AID and Medication aide Certified in the state of Nebraska.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
January 27, 2022 - February 7, 2023
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
Omaha, NE
Past
January 16, 2022 - February 7, 2023
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WESTLAKE, TX
Past
October 29, 2019 - February 22, 2021
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 111514
Omaha, NE
Past
October 29, 2019 - October 14, 2022
TD AMERITRADE, INC.
RIA
CRD#: 7870
OMAHA, NE
Past
November 28, 2017 - February 7, 2023
TD AMERITRADE, INC.
BD
CRD#: 7870
OMAHA, NE
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".
CHARLES SCHWAB & CO., INC.
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
RIA
Registered Investment Advisory firm - SEC (7/24/1987 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
CHARLES SCHWAB & CO., INC.
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
RIA
Registered Investment Advisory firm - SEC (7/24/1987 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information
Main Address
3000 Schwab Way, San Francisco, CA 94105
Mailing Address
3000 Schwab Way Sf211mn-08-330, Westlake, TX 76262-8104
Phone number
(817) 859-5000
Established
California since 04/01/1971
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
30,065
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.
