Joe Earnhardt

Joe Earnhardt is a seasoned compliance leader with extensive experience in the financial services sector. Currently serving as the Director and Head of Retail Compliance at Charles Schwab since June 2020, Joe oversees enterprise-wide broker-dealer advice compliance. Prior positions include Director of Operations & Supervisory Risk Oversight at TD Ameritrade, where Joe focused on risk management across various business lines, and Director of Distribution Compliance at Fidelity Investments, responsible for national retail initiatives and broker-dealer controls. Joe also held roles at Fidelity as Director of Retail Field Compliance and at Merrill Lynch as Compliance Manager for retirement products. Joe Earnhardt holds an MBA and a BBA in Management, both from WGU Texas.