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425 Market Street 17Th Floor, San Francisco, CA 94105 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2023-08-11 |
Branch Locations
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| 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 |
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
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-08-16 |
| S63 | Uniform Securities Agent State Law Examination | 2000-07-13 |
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