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425 Market Street 17Th Floor, San Francisco, CA 94105 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MD | RA | APPROVED | 2001-04-06 |
Branch Locations
7401 Wisconsin Ave Suite 100, Bethesda, MD 20814-3400 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| 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 |
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
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-03-15 |
| S63 | Uniform Securities Agent State Law Examination | 1988-12-07 |
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