NEW ADVISERS

Charles Schwab lists 14 of 165 first adviser registrations; Merrill Lynch follows with 13

The 165 first adviser registrations are dated October 23 through October 25, 2026, and span 86 firm categories.

By Claire Bennett··2 min read

Charles Schwab & Co., Inc. is the current listed firm for 14 of the 165 first adviser registrations dated from Friday, October 23, 2026, through Sunday, October 25, 2026. Merrill Lynch, Pierce, Fenner & Smith Incorporated follows with 13, Morgan Stanley with 10, and Strategic Advisers LLC with 7. The remaining 121 registrations fall under all other firms, a grouping the source reports across 86 firm categories in all.

Among the Schwab-affiliated registrants, Justin W. Paul and Timothy W. Ahrens both carry first adviser registration dates of October 24, 2026. Their reported branch locations are Westlake, Texas, and Indianapolis, Indiana, respectively. A listed firm is the current source-reported affiliation, not necessarily the first registration firm, and a first adviser registration does not establish an industry job start, hiring date, new license, or career start. A reported branch is not necessarily a residence or sole workplace.

Merrill Lynch's 13 registrants include Owen R. Vetro and Calvin M. Sales, each with a first adviser registration date of October 25, 2026. The source lists Vetro's branch in Syracuse, New York, and Sales's in Wexford, Pennsylvania.

Morgan Stanley's 10 registrants include Aidan S. Kluge and Kayla M. Brady, both dated October 24, 2026, with reported branches in Tampa, Florida, and Clayton, Missouri. Strategic Advisers LLC's 7 registrants include Ethan M. Lizmi and Autumn Halladay, also dated October 24, 2026, with reported branches in Owings Mills, Maryland, and Riverton, Utah.

Listed firm categoryFirst adviser registrations
Charles Schwab & Co., Inc.14
Merrill Lynch, Pierce, Fenner & Smith Incorporated13
Morgan Stanley10
Strategic Advisers LLC7
All other firms121

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First adviser registrations by listed firm category, October 23–25, 2026. The four named firms account for 44 of the 165 registrations; the remaining 121 sit with all other firms.

First adviser registrations

The advisers below account for all 165 source-reported first adviser registrations from 10/23/2026 through 10/25/2026. Firms and branches reflect affiliations currently reported for each adviser, which may differ from those at first registration. These dates do not establish hires or career starts, and branches do not establish residence or exclusive workplaces.

Showing rows 26–50 of 165. The CSV contains the complete table.

AdviserIndividual CRDSource snapshot dateFirst registration dateFirm in feedFirm CRDAdviser location
Casey A. Woodward832023210/26/202610/23/2026Edward Jones250St. Louis, MO
Chad F. Simmerman832163510/26/202610/23/2026LPL Enterprise, LLC8733Warrington, PA
Chad K. Creevy441392910/26/202610/23/2026Great Lakes Advisors, LLC110757Holland, MI
Chase J. Semmig791120610/26/202610/23/2026Ameriprise Financial Services, LLC6363Harrisonburg, VA
Chase T. Oshea826334810/26/202610/23/2026Vanguard Advisers, Inc.106715Malvern, PA
Claudia C. Emmet234650010/26/202610/23/2026Raymond James Financial Services Advisors, Inc.149018San Diego, CA
Clayton E. Davis836429610/26/202610/23/2026Sound Income Strategies, LLC173272Chattanooga, TN
Cole A. Deardorff813435410/26/202610/23/2026Lauer Wealth Management289763Valparaiso, IN
Cole Batson830739810/26/202610/23/2026J.P. Morgan Securities LLC79Palm Beach, FL
Collin G. Rice821647310/26/202610/23/2026W&S Brokerage Services, Inc.8099Jacksonville, FL
Craig Schauer255438210/26/202610/23/2026Schauer Investment Management, Inc.283119Northridge, CA
Dana Esposito833545710/26/202610/23/2026Happiness in Retirement159052Watertown, CT
Daniel Leshowitz836393910/26/202610/25/2026Asti Financial Management137405Berkeley, CA
Danielle M. McEowen640024610/26/202610/23/2026Morgan Stanley149777Columbus, OH
Danielle R. Ewang810640010/26/202610/23/2026Merrill Lynch, Pierce, Fenner & Smith Incorporated7691Los Angeles, CA
David A. Gearhart788387110/26/202610/23/2026Bluespring Wealth Management, LLC152667Mansfield, OH
David H. Schafer706448210/26/202610/23/2026Ameriprise Financial Services, LLC6363Spokane, WA
David L. Hurst543635010/26/202610/23/2026TIAA-CREF Individual & Institutional Services, LLC20472Charlotte, NC
David S. Foster721486710/26/202610/23/2026Raymond James Financial Services Advisors, Inc.149018Spartanburg, SC
Devon G. Breen794910210/26/202610/23/2026Strategic Advisers LLC104555Brookline, MA
Dhritik Manchaiah793152810/26/202610/24/2026Merrill Lynch, Pierce, Fenner & Smith Incorporated7691New York, NY
Divine Onyia750590310/26/202610/23/2026J.P. Morgan Securities LLC79San Antonio, TX
Dominic A. Skevington817165110/26/202610/23/2026Hsbc Securities (USA) Inc.19585New York, NY
Eduardo D. Puerto824206510/26/202610/24/2026Citigroup Global Markets Inc.7059New York, NY
Elizabeth D. Allen796262810/26/202610/23/2026UBS Financial Services Inc.8174Wilmington, NC

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