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Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
IA RA APPROVED 2022-01-26
  • IA RA
    APPROVED
    Since 2022-01-26

Branch Locations

5901 Mills Civic Parkway Suite 6000, West Des Moines, IA 50266 • 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
Scottrade, Inc. Des Moines IA 04/2006 09/2018
Td Ameritrade, Inc. West Des Moines IA 02/2018 12/2022
Charles Schwab And Co., Inc. Des Moines IA 12/2022 Present
Charles Schwab Bank Ssb Des Moines IA 04/2024 Present
  • 04/2006 → 09/2018
    Scottrade, Inc.
    Des Moines, IA
  • 02/2018 → 12/2022
    Td Ameritrade, Inc.
    West Des Moines, IA
  • 12/2022 → Present
    Charles Schwab And Co., Inc.
    Des Moines, IA
  • 04/2024 → Present
    Charles Schwab Bank Ssb
    Des Moines, IA
Previous Registrations
  • 2018-02-26 → 2023-09-07
    Td Ameritrade Investment Management, Llc
    Omaha, NE
    West Des Moines, IA
    West Des Moines, IA
  • 2018-02-27 → 2022-10-14
    Td Ameritrade, Inc.
    West Des Moines, IA
  • 2017-07-11 → 2018-02-26
    Scottrade Investment Management
    Saint Louis, MO
  • 2005-08-17 → 2006-04-03
    Des Moines, IA
    Des Moines, IA
  • 2003-06-16 → 2005-06-27
    Td Ameritrade, Inc.
    Desmoines, IA
Other Businesses

Name of Outside Business:WB Holdings LLC; Investment Related:No; Address of Outside Business:West Des Moines, IA; Nature of Outside Business:Rental Property; Position:Partner; Start Date:1/1/2003; Hours per month: 0-10; Hours per month during securities trading hours: No; Description of Duties: Rental properties and refurbishing repossessed properties duties are of bookkeeping natureName of Outside Business:Rental Property; Investment Related:No; Address of Outside Business:Hamlin, IA; Nature of Outside Business:Agriculture; Position:Owner; Start Date:9/1/2012; Hours per month: 0-10; Hours per month during securities trading hours: No; Description of Duties: Land Rental or Crop Share

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-07-11
S63 Uniform Securities Agent State Law Examination 1999-08-17
  • S66 Uniform Combined State Law Examination
    2017-07-11
  • S63 Uniform Securities Agent State Law Examination
    1999-08-17

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