Role at Charles Schwab Investment Management
- Title on Schedule A
- Director
- Control
- Richard Wurster is a control person of Charles Schwab Investment Management.
- Ownership
- An individual ownership band is not available in the source record.
- Tenure
- Richard Wurster has held the filed role since October 2021.
The firm
Form ADV filed 30 March 2026
Career on record
- Passed Series 99TO · 2023
- Charles Schwab & Co., Inc.Current– present · 5 yearsWestlake, TX · Adviser representative · Firm CRD 5393
- Passed Series 24 · 2021
- Charles Schwab Investment Advisory, Inc– · 4 yearsSan Francisco, CA · Adviser representative · Firm CRD 151739
- Thomaspartners, Inc.– · 1 yearSan Francisco, CA · Adviser representative · Firm CRD 104966
- Windhaven Investment Management, Inc.– · 1 yearSan Francisco, CA · Adviser representative · Firm CRD 155138
Registrations and exams
Richard Wurster has a current investment-adviser registration in California and Texas and has passed 2 qualifying exams.
| State | Scope | Status | Since |
|---|---|---|---|
| California | Investment adviser representative | Approved | 10 March 2022 |
| Texas | Investment adviser representative | Approved | 26 January 2023 |
- Scope
- Investment adviser representative
- Status
- Approved
- Scope
- Investment adviser representative
- Status
- Approved
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 24 | General Securities Principal Examination | 21 June 2021 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
- Name
- General Securities Principal Examination
- Name
- Operations Professional Examination
Individual record
- Full name
- Richard Andrew Wurster
- CRD
- 6638804
- Registration status
- Investment adviser and broker registrations
This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov
Common questions
Where does Richard Wurster work?
Richard Wurster has been Director of Charles Schwab Investment Management, Inc since October 2021, and is a control person of the firm.
Is Richard Wurster a financial advisor?
Yes. Richard Wurster has a current investment-adviser registration in California and Texas, as of 17 October 2026.
How many years of experience does Richard Wurster have?
Richard Wurster has worked in the financial industry for 9 years as of 17 October 2026, counted from 5 December 2016, across 4 adviser firms.
What exams has Richard Wurster passed?
Richard Wurster has passed 2 licensing exams: the Series 24 and Series 99TO. The earliest, the Series 24, was passed in June 2021.
Where was Richard Wurster previously registered as an investment adviser?
Richard Wurster has past investment-adviser registrations through Charles Schwab Investment Advisory, Inc, March 2018 to March 2022; Thomaspartners, Inc., December 2016 to March 2018; Windhaven Investment Management, Inc., December 2016 to March 2018, across 4 firms.
Leadership at Charles Schwab Investment Management
- Omar Aguilar ChavezDirector, Chief Executive Officer, President and Chief Investment Officer
- Jessica SeidlitzChief Financial Officer and Chief Operating Officer
- Mark HunterChief Compliance Officer
- Patrick CassidyChief Investment Officer
- Catherine MacgregorChief Legal Officer
- William McMahonChief Investment Officer
- Michael Daniel VerdeschiDirector