Dorothy Ann Sperry
Investment adviser representative at Charles Schwab & Co., Inc.
10 yearsExperience
3 statesRegistered in
$0Firm assets
39 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Fixed or flat feeOther
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
Experience
10 years in the industry.
- Charles Schwab & Co., Inc.Aug 2023 to now
- Charles Schwab Bank, SsbAug 2023 to now
- TD Ameritrade, Inc.Oct 2023 to Jun 2024
- Advised Assets Group, LLCJan 2022 to Jul 2023
- Gwfs Equities, IncJan 2022 to Jul 2023
- TD AmeritradeMar 2020 to Jan 2022
- Edelman Financial EnginesSep 2019 to Mar 2020
- TD Ameritrade Investment Management, LLCFeb 2018 to Aug 2019
- TD Ameritrade, Inc.Feb 2018 to Aug 2019
- Scottrade, Inc.Jul 2017 to Feb 2018
- Scottrade, Inc.Mar 2017 to Jun 2017
- Steve Strassman Insurance AgencyFeb 2017 to Mar 2017
- UnemployedSep 2016 to Jan 2017
Exams passed
- Series 65 · Uniform Investment Adviser Law2004
- Series 63 · Uniform Securities Agent State Law2005
State registrations
Registered as an investment adviser representative in 3 states (FL, NC, TX).
Charles Schwab & Co., Inc.
$0Assets managed
0Clients
6,777Advisers
39 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 4635917
- Firm CRD
- 5393