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David M. Puopolo

Charles Schwab & Co., Inc.

Boston, MA

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Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2022-11-28
  • CT RA
    APPROVED
    Since 2022-11-28

Branch Locations

One International Place, Boston, MA 02110-2600 • 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. Chestnut Hill MA 02/1992 04/2019
Charles Schwab Bank Chestnut Hill MA 02/2005 04/2019
Charles Schwab Investment Advisory, Inc Boston MA 04/2019 07/2020
Charles Schwab Investment Management, Inc. Boston MA 01/2020 11/2022
Charles Schwab & Co., Inc. Boston MA 11/2022 Present
Previous Registrations
  • 2020-09-09 → 2023-03-01
    Charles Schwab Investment Management, Inc
    San Francisco, CA
    Boston, MA
  • 2019-07-02 → 2020-09-10
    Charles Schwab Investment Advisory, Inc.
    Boston, MA
    San Francisco, CA
  • 2012-10-18 → 2019-07-10
    Charles Schwab & Co., Inc.
    Burlington, MA
    Lynnfield, MA
    Burlington, MA
    Boston, MA
    Stamford, CT
    Chestnut Hill, MA
    Burlington, MA
    West Hartford, CT
    San Francisco, CA
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2023-05-13
  • S63 Uniform Securities Agent State Law Examination
    2023-05-13
Designations
Other Names
  • David M Puopolo
  • David Michael Puopolo

View on SEC IAPD

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