Wikilix
Licence record

charles SCHWAB: FINRA licence CRD# 5393

Issuing authority
The Financial Industry Regulatory Authority
Jurisdiction
United States
Licence type
Dealing in securities

This is Wikilix's record of a licence issued by The Financial Industry Regulatory Authority. It sets out what the register says, what we checked, and what the authority's own rules protect.

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RecordModified Aug 4, 2026

Licence Verification Record

The Financial Industry Regulatory Authority CRD# 5393

Recorded from the firm's own disclosure. Not yet checked against the register.

Holder
Charles Schwab & Co. Inc.
Issuing authority
The Financial Industry Regulatory Authority
Jurisdiction
United States
Licence type
Dealing in securities

A licence record describes what an authority published. It is not an endorsement, and Wikilix does not issue authorisations.

wikilix.com/brokers/charles-schwab/licenses/the-financial-industry-regulatory-authority/crd-5393Fields on file 2 / 11

Open charles SCHWABAll charles SCHWAB licencesAbout FINRA
Our check

What we checked

Nobody has adjudicated this licence yet. It is recorded here as claimed, not as confirmed.

Wikilix check
Not checked
Authority strength
Tier 1
Jurisdiction
United States
Last checked
Never

Nobody at Wikilix has looked this licence up on the official register yet. Everything above comes from the record as supplied; treat it as a claim until you have checked it yourself.

A licence record describes what an authority published. It is not an endorsement, and Wikilix does not issue authorisations.
The register

What the authority publishes

Printed as the register prints it. A field that is missing here is one nobody has recorded, not one the register leaves blank.

Licence number
CRD# 5393
Licence type (Wikilix classification)
Dealing in securities
The authority

About FINRA

The Financial Industry Regulatory Authority is the authority that issued this licence, and the jurisdiction it applies in is United States.

Full name
The Financial Industry Regulatory Authority
Jurisdiction
United States
Strength
Tier 1The strictest regimes: high capital requirements, segregated client money and a compensation scheme.
Established
2007
Oversight
A government or statutory body
Firms we track under it
0 firms
Licences it issues
Broker‑Dealer (SRO) Membership
Typical cost of a licence
USD 150000+
Public register
No public register published
Transparency
High
Protection

What this licence protects

FINRA's own rules for the firms it authorises.

  • Compensation schemeUp to USD 500000 (SIPC)
  • Complaints routeFINRA Arbitration
  • Maximum leverage1:50
This describes the authority's regime, not how charles SCHWAB applies it.
The holder

Who holds this licence

The licence above is recorded against charles SCHWAB. A licence is issued to a legal company, so the companies below are what you would search a corporate register for.

Broker
Charles Schwab & Co. Inc.
Based in
United States
Wikilix score
67.1the firm’s overall score, not a rating of this licence

Recorded companies

None of these matches the name the register printed, so we do not say which one holds this licence.

  • THE CHARLES SCHWAB CORPORATIONUnited States · Reg. 2108673 · Sep 26, 2024
  • CHARLES SCHWAB & CO. INC.United States · Reg. EXTUID_2763295 · Aug 27, 2019
  • TD Ameritrade Hong Kong LimitedHong Kong · Reg. 2327584 · Jan 6, 2016
Provenance

Where this record came from

Every date below has already happened. We do not publish a promised next-update date, because we do not schedule per-licence re-checks.

Last checked by Wikilix
Never — nobody has looked this entry up yet
Record last edited
When this entry was last changed in our database, which may be a correction rather than a change at the register.
Wikilix records what an authority published. It does not issue or endorse authorisations.
Also on record

Other licences charles SCHWAB holds

3 other licences are on record for charles SCHWAB.

Frequently Asked Questions

Questions about this licence

Answered from this register entry and the authority’s own record.

Most Popular Questions
Charles Schwab offers trading in a variety of regulated financial instruments including forex, stocks, derivatives, securities, and futures. The availability of these instruments may vary by jurisdiction and regulatory permissions.
Charles Schwab offers a maximum leverage of 2:1. This leverage level applies to its trading accounts and is consistent with regulatory requirements in its operating jurisdictions.
Charles Schwab supports several funding methods including ACH bank transfers, wire transfers, mobile check deposits, check deposits by mail, and account transfers via ACATS. ACH transfers are typically free and take about two days, while wire transfers are faster but may incur withdrawal fees. Availability and processing times vary depending on the method.
Yes, Charles Schwab & Co. Inc. is regulated by multiple authorities including the Securities and Futures Commission (SFC) in Hong Kong, the Financial Industry Regulatory Authority (FINRA) in the United States, the Financial Conduct Authority (FCA) in the United Kingdom, and the Swiss Financial Market Supervisory Authority (FINMA). These regulators ensure compliance with onshore regulations and investor protection standards.
Licence CRD# 5393 was issued by The Financial Industry Regulatory Authority (FINRA), the financial authority for United States.
charles SCHWAB holds this FINRA licence. A licence on record means the authority published an entry; it is not an endorsement.
Nobody at Wikilix has looked this entry up on the FINRA register yet, so treat it as claimed rather than confirmed. That is a gap in our coverage, not a finding against the licence.
Wikilix rates FINRA tier 1 — the strictest band, with high capital requirements, segregated client money and a compensation scheme.
charles SCHWAB has 3 other licences on record with Wikilix, across 3 jurisdictions. They are listed further down this page.
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