Samuel Lewis Sernett
Investment Adviser Representative at Charles Schwab & Co., Inc.
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Samuel Lewis Sernett is an investment adviser representative with Charles Schwab & Co., Inc. in Lone Tree, CO, where they have been registered since 2022, the year they entered the securities industry. They have passed 3 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent) and Series 7 (general securities representative). They are registered to provide investment advice in Colorado and Texas.
Office
Advisors at this office: 339
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- Colorado, Texas
- Broker:
51 states and territories
Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Ohio, Oklahoma, Oregon, Pennsylvania, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virginia, Washington, West Virginia, Wisconsin, Wyoming
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Charles Schwab & Co., Inc.Jul 2021 – no end date reportedLone Tree, CO
- Charles Schwab & Co., Inc.Jun 2020 – Aug 2020Lone Tree, CO
- Post Holdings, Inc.May 2019 – Aug 2019Emeryville, CA
- Orinda Shell Auto CareMay 2018 – Aug 2018Orinda, CA
- Skyhawks Sports AcademyJun 2017 – Aug 2017Orinda, CA
- StudentAug 2017 – Jul 2021Fort Collins, CO
- StudentJan 2010 – Jun 2017Orinda, CA
- Charles Schwab Bank, SSBJun 2023 – no end date reportedLone Tree, CO
- Charles Schwab Premier Bank, SSBJun 2023 – no end date reportedLone Tree, CO
- Charles Schwab Trust Company, SSBJun 2023 – no end date reportedLone Tree, CO
Official records & sources
Data as of August 11, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Charles Schwab & Co., Inc.
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Fixed fee
- Other
- Firm account minimum
- $500,000
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Unknown
Client types the firm serves
Unknown
Firm assets under management
Unknown
- Firm disclosures (Form ADV)
- Unknown
Source: firm Form ADV filing
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Samuel Lewis Sernett has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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