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Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2023-08-11
  • TX RA
    APPROVED
    Since 2023-08-11

Branch Locations

3000 Schwab Way, Westlake, TX 76262 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Charles Schwab & Co., Inc. Westlake TX 08/2023 Present
Td Ameritrade, Inc. Westlake TX 01/2007 09/2023
Charles Schwab Bank, Ssb Westlake TX 01/2025 Present
  • 08/2023 → Present
    Westlake, TX
  • 01/2007 → 09/2023
    Td Ameritrade, Inc.
    Westlake, TX
  • 01/2025 → Present
    Charles Schwab Bank, Ssb
    Westlake, TX
Previous Registrations
  • 2018-08-09 → 2023-09-07
    Td Ameritrade Investment Management, Llc
    Southlake, TX
    Westlake, TX
  • 2007-01-11 → 2022-10-14
    Td Ameritrade, Inc.
    Fort Worth, TX
    Pittsburgh, PA
    Omaha, NE
    Westlake, TX
    Fort Worth, TX
  • 2007-01-11 → 2015-02-25
    Td Ameritrade Investment Management, Llc
    Fort Worth, TX
    Pittsburgh, PA
  • 2005-06-25 → 2006-12-20
    Pittsburgh, PA
    Pittsburgh, PA
  • 2005-02-01 → 2005-06-25
    Parker/Hunter Incorporated
    Pittsburgh, PA
  • 2003-06-30 → 2004-07-27
    Ameriprise Advisor Services, Inc.
    Moon Township, PA
Other Businesses

BAND POSITION: MEMBER NATURE: BAND INVESTMENT RELATED: NO NUMBER OF HOURS: 8 INVESTMENT RELATED HOURS: 0 START DATE: 07/09/2012 ADDRESS: 8633 SPRINGMONT LN, FORT WORTH TX 76244 DESCRIPTION: VOCALS AND RHYTHM GUITARName of Outside Business:Treasure Tank Productions LLC; Investment Related:No; Address of Outside Business:Haslet, TX; Nature of Outside Business:Other; Position:N/A; Start Date:10/10/2016; Hours per month: 10-20; Hours per month during securities trading hours: No; Description of Duties: Research and Development

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-08-16
S63 Uniform Securities Agent State Law Examination 2000-07-13
  • S65 Uniform Investment Adviser Law Examination
    2001-08-16
  • S63 Uniform Securities Agent State Law Examination
    2000-07-13
Other Names
  • Andy Haag

View on SEC IAPD

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