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Serena Chow

Charles Schwab & Co., Inc.

San Mateo, CA

San Francisco, CA

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Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2007-08-29
  • CA RA
    APPROVED
    Since 2007-08-29

Branch Locations

1300 South El Camino Real Suite 110, San Mateo, CA 94402-2964 • United States

425 Market Street Floor 17, San Francisco, CA 94105 • 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. San Francisco CA 09/2000 Present
Charles Schwab Bank Ssb San Francisco CA 02/2006 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-08-28
S63 Uniform Securities Agent State Law Examination 2000-12-07
  • S65 Uniform Investment Adviser Law Examination
    2007-08-28
  • S63 Uniform Securities Agent State Law Examination
    2000-12-07
Designations

View on SEC IAPD

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