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Laurie Kwong

Charles Schwab & Co., Inc.

San Francisco, CA

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Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2012-06-27
  • CA RA
    APPROVED
    Since 2012-06-27

Branch Locations

425 Market Street Floor 17, San Francisco, CA 94105 • 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. San Francisco CA 05/2012 Present
Charles Schwab Bank, Ssb San Francisco CA 06/2012 Present
Previous Registrations
  • 1999-08-25 → 2002-12-17
    Charles Schwab & Co., Inc.
    San Francisco, CA
    San Francisco, CA
    San Francisco, CA
    San Francisco, CA
    San Francisco, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-08-12
S63 Uniform Securities Agent State Law Examination 1995-10-10
  • S65 Uniform Investment Adviser Law Examination
    1999-08-12
  • S63 Uniform Securities Agent State Law Examination
    1995-10-10
Other Names
  • So Ling Kwong

View on SEC IAPD

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