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Current Employers
Charles Schwab & Co., Inc.

425 Market Street 17Th Floor, San Francisco, CA 94105 • United States

Current Registrations

AuthorityCategoryStatusDate
MD RA APPROVED 2001-04-06
  • MD RA
    APPROVED
    Since 2001-04-06

Branch Locations

7401 Wisconsin Ave Suite 100, Bethesda, MD 20814-3400 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Charles Schwab & Co., Inc. Bethesda MD 02/1992 Present
Charles Schwab Bank Bethesda MD 03/2005 04/2018
Sifma New York NY 05/2012 Present
  • 02/1992 → Present
    Bethesda, MD
  • 03/2005 → 04/2018
    Charles Schwab Bank
    Bethesda, MD
  • 05/2012 → Present
    Sifma
    New York, NY
Other Businesses

1) SIFMA | START DATE 05/01/2012 | FINANCIAL SERVICES DIRECTOR | NEW YORK, NY | NOT INVESTMENT RELATED | MEMBER OF THE BOARD OF DIRECTOR OF HIS MEMBER GROUP OF FINANCIAL SERVICES COMPANIES | LESS THAN 20 HOURS PER MONTH - 0 DURING TRADING 2) SIFMA FIE; 04/26/2018; NEW YORK, NEW YORK; BOARD OF DIRECTORS; NOT INVESTMENT RELATED; ASSISTS IN FINANCIAL LITERACY PROGRAMS; LESS THAN 20 HOURS PER MONTH; NOT DURING SECURITIES TRADING HOURS. 3) Shanghai Advanced Institute of Finance (SAIF) | Investment Related: No | 211 West Huaihai Road; Shanghai; China; 00000; China | Education | International Expert Board of Program Development Member | 2023-05-27 | Hours Per Month: Less than 20 | Hours Spent during Security Trading: 0 | Provide thought leadership with other industry leaders to help shape SAIF's leadership position as a leading university for business minded students. 4) University System of Maryland Foundation|Investment Related:No|3300 Matzerott Rd;Adelphi;Maryland;20783;USA|Education|Director|2023-11-16|Hours Per Month:Less than 20|Hours Spent during Security Trading:0|This is an adjunct assignment to my role as a University of Maryland Foundation Trustee. This is the Maryland system of university and colleges

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-03-15
S63 Uniform Securities Agent State Law Examination 1988-12-07
  • S65 Uniform Investment Adviser Law Examination
    1996-03-15
  • S63 Uniform Securities Agent State Law Examination
    1988-12-07
Other Names
  • Lisa Marie Hunt
  • Lisa Marie Kidd

View on SEC IAPD

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