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Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
WA RA APPROVED 2021-10-21
  • WA RA
    APPROVED
    Since 2021-10-21

Branch Locations

19020 33Rd Ave West Suite 100, Lynnwood, WA 98036-4746 • United States

11100 Ne 8Th St. Suite 250, Bellevue, WA 98004-4465 • 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 Pasadena CA 08/2016 02/2020
Charles Schwab & Co., Inc. Lynnwood WA 08/2021 Present
Charles Schwab Bank, Ssb Lynnwood WA 08/2021 Present
Ep Wealth Advisors, Llc Torrance CA 02/2020 08/2021
  • 08/2016 → 02/2020
    Td Ameritrade
    Pasadena, CA
  • 08/2021 → Present
    Lynnwood, WA
  • 08/2021 → Present
    Charles Schwab Bank, Ssb
    Lynnwood, WA
  • 02/2020 → 08/2021
    Ep Wealth Advisors, Llc
    Torrance, CA
Previous Registrations
  • 2016-08-11 → 2020-02-22
    Td Ameritrade, Inc.
    Pasadena, CA
    Long Beach, CA
  • 2016-08-11 → 2020-02-22
    Td Ameritrade Investment Management, Llc
    Pasadena, CA
    Long Beach, CA
  • 2015-06-17 → 2016-08-04
    Anaheim, CA
    Anaheim, CA
    Riverside, CA
    Anaheim, CA
    Riverside, CA
  • 2010-12-01 → 2013-10-03
    Strategic Capital Group L.L.C.
    Gig Harbor, WA
    Aliso Viejo, CA
    Irvine, CA
    Dana Point, CA
  • 2003-10-02 → 2009-07-09
    Td Ameritrade, Inc.
    Long Beach, CA
    Long Beach, CA
  • 2006-04-24 → 2009-07-09
    Td Ameritrade Investment Management, Llc
    San Diego, CA
Other Businesses

1) Waldebert Raquel | Investment Related:No|342 E 219th St|Carson|CA|90745|USA|Real Estate (Non-Agent/Broker)|Property Owner/Manager|9/1/2021|Less than 20|0|Collect rent and pay expenses to maintain rental property

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-09-26
S63 Uniform Securities Agent State Law Examination 2001-01-20
  • S66 Uniform Combined State Law Examination
    2003-09-26
  • S63 Uniform Securities Agent State Law Examination
    2001-01-20
Other Names
  • Waldebert P Raquel
  • Waldebert Prudencio Raquel
  • Bert Raquel

View on SEC IAPD

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