John Charles Smith

Charles Schwab & Co., Inc.

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Current Employers

Charles Schwab & Co., Inc.

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2019-01-02
OR	RA	APPROVED	2012-09-04

TX RA
APPROVED_RES

Since 2019-01-02
OR RA
APPROVED

Since 2012-09-04

Branch Locations

4093 Commercial St Se Suite 170, Salem, OR 97302 • 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

Organization	City	State	From	To
Charles Schwab & Co., Inc.	Salem	OR	07/2012	Present

07/2012 → Present

Charles Schwab & Co., Inc.

Salem, OR

Previous Registrations

2010-06-23 → 2012-07-10

Banyan Partners, Llc

Naples, FL

Palm Beach Gardens, FL
2009-05-14 → 2011-02-22

Sitka Pacific Capital Management, Llc

Seattle, WA
2007-10-30 → 2009-01-13

Calamos Wealth Management Llc

Naperville, IL
2007-01-22 → 2007-10-17

Calamos Advisors Llc

Naperville, IL
2003-02-21 → 2006-11-15

Private Capital Management, Lp

Naples, FL
2000-06-28 → 2003-01-24

Strategic Advisers Llc

Naples, FL

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2013-07-30
S65	Uniform Investment Adviser Law Examination	1994-11-10

S63 Uniform Securities Agent State Law Examination

2013-07-30
S65 Uniform Investment Adviser Law Examination

1994-11-10

View on SEC IAPD

Other Firms

LPL FINANCIAL LLC

J.P. MORGAN SECURITIES LLC

STIFEL, NICOLAUS & COMPANY, INCORPORATED

STATE FARM INVESTMENT MANAGEMENT CORP.

KEUDELL MORRISON WEALTH MANAGEMENT, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

U.S. BANCORP ADVISORS, LLC

Other Investors

MICHAEL SCOTT CAPRAI

Caitlin Marie Davis

KEVIN LEE BENEFIEL

John Daryl Acosta Bernardio

DAVID JOHN WRIGHT

YORK APARICIO MENDOZA

Chad Michael Wright

Other Offices

LPL FINANCIAL LLC · SALEM, OR

EDWARD JONES · SALEM, OR

J.P. MORGAN SECURITIES LLC · SALEM, OR

LPL FINANCIAL LLC · SALEM, OR

STIFEL, NICOLAUS & COMPANY, INCORPORATED · SALEM, OR

STATE FARM INVESTMENT MANAGEMENT CORP. · Salem, OR

KEUDELL MORRISON WEALTH MANAGEMENT, LLC · SALEM, OR

AMERIPRISE FINANCIAL SERVICES, LLC · Salem, OR

More in Salem, OR

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