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Neil M Poulicakos

Charles Schwab & Co., Inc.

Providence, RI

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Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
RI RA APPROVED 2026-04-01
TX RA APPROVED 2026-03-09
  • RI RA
    APPROVED
    Since 2026-04-01
  • TX RA
    APPROVED
    Since 2026-03-09

Branch Locations

75 Fountain Street Suite R1, Providence, RI 02902 • 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
Td Ameritrade Braintree MA 04/2007 01/2021
Portfolio Medics Bonita Springs FL 11/2021 07/2023
Family First Life Insurance Plymouth MA 08/2021 12/2025
Unemployed Plymouth MA 01/2021 08/2021
Charles Schwab & Co., Inc. Providence RI 12/2025 Present
Charles Schwab Bank Providence RI 12/2025 Present
  • 04/2007 → 01/2021
    Td Ameritrade
    Braintree, MA
  • 11/2021 → 07/2023
    Portfolio Medics
    Bonita Springs, FL
  • 08/2021 → 12/2025
    Family First Life Insurance
    Plymouth, MA
  • 01/2021 → 08/2021
    Unemployed
    Plymouth, MA
  • 12/2025 → Present
    Charles Schwab & Co., Inc.
    Providence, RI
  • 12/2025 → Present
    Charles Schwab Bank
    Providence, RI
Previous Registrations
  • 2022-01-25 → 2023-07-21
    Portfolio Medics, Llc
    Plymouth, MA
  • 2007-04-11 → 2021-01-11
    Td Ameritrade, Inc.
    Hyannis, MA
    Boston, MA
    Providence, RI
    Hyannis, MA
    Centerville, MA
  • 2007-04-11 → 2020-12-31
    Td Ameritrade Investment Management, Llc
    Hyannis, MA
    Braintree, MA
    Hyannis, MA
    Providence, RI
    Plymouth, MA
  • 2006-12-07 → 2007-04-03
    Citizens Securities, Inc.
    Braintree, MA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2026-03-09
S65 Uniform Investment Adviser Law Examination 2006-12-06
S63 Uniform Securities Agent State Law Examination 2000-08-24
  • S66 Uniform Combined State Law Examination
    2026-03-09
  • S65 Uniform Investment Adviser Law Examination
    2006-12-06
  • S63 Uniform Securities Agent State Law Examination
    2000-08-24
Other Names
  • Neil Martin Poulicakos

View on SEC IAPD

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EDWIN G FISCHER
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Other Offices

PARSONS CAPITAL MANAGEMENT INC · PROVIDENCE, RI
PARSONS CAPITAL MANAGEMENT INC · PROVIDENCE, RI
ERNST & YOUNG INVESTMENT ADVISERS LLP · PROVIDENCE, RI
BLUE FIN CAPITAL, INC. · PROVIDENCE, RI
WASHINGTON TRUST ADVISORS · Providence, RI
WASHINGTON TRUST ADVISORS · Providence, RI
STIFEL, NICOLAUS & COMPANY, INCORPORATED · PROVIDENCE, RI
BARRETT & COMPANY · PROVIDENCE, RI

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