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Dolores B Charles

Charles Schwab & Co., Inc.

San Antonio, TX

Indianapolis, IN

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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 2020-05-23
  • TX RA
    APPROVED
    Since 2020-05-23

Branch Locations

San Antonio, TX • United States

8332 Woodfield Crossing Blvd, Indianapolis, IN 46240-2482 • 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
Usaa Investment Management Company San Antonio TX 12/2010 05/2020
Usaa Transfer Agency Company San Antonio TX 04/2012 12/2018
Charles Schwab & Co., Inc. San Antonio TX 05/2020 Present
  • 12/2010 → 05/2020
    Usaa Investment Management Company
    San Antonio, TX
  • 04/2012 → 12/2018
    Usaa Transfer Agency Company
    San Antonio, TX
  • 05/2020 → Present
    Charles Schwab & Co., Inc.
    San Antonio, TX
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-12-01
S63 Uniform Securities Agent State Law Examination 2006-03-31
  • S66 Uniform Combined State Law Examination
    2010-12-01
  • S63 Uniform Securities Agent State Law Examination
    2006-03-31
Other Names
  • Dolores B Mccoy

View on SEC IAPD

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