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Karen Sherlock

Schwab Wealth Advisory, Inc.

Pinetop, AZ

San Francisco, CA

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Current Employers
Schwab Wealth Advisory, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2021-01-11
AZ RA APPROVED 2012-05-11
  • TX RA
    APPROVED_RES
    Since 2021-01-11
  • AZ RA
    APPROVED
    Since 2012-05-11

Branch Locations

Pinetop, AZ • United States

425 Market Street 17Th Floor, 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
Schwab Wealth Advisory, Inc. Pinetop AZ 01/2012 Present
Charles Schwab & Co., Inc. Pinetop AZ 11/2000 Present
Other Businesses

(1) MIDNIGHT SUN RENTALS | NOT INVESTMENT RELATED | PHOENIX, ARIZONA | START DATE 05/22/2014 | RENTAL PROPERTY OWNER | LESS THAN 20 HOURS PER MONTH, NONE DURING SECURITIES TRADING HOURS; (2) L'AMORE | NOT INVESTMENT RELATED | PHOENIX, ARIZONA | START DATE 06/01/2018 | ASSISTANT TO RESTAURANT OWNERS | LESS THAN 20 HOURS PER MONTH, NONE DURING SECURITIES TRADING HOURS.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-07-27
S63 Uniform Securities Agent State Law Examination 2001-03-01
  • S66 Uniform Combined State Law Examination
    2009-07-27
  • S63 Uniform Securities Agent State Law Examination
    2001-03-01
Other Names
  • Karen Hood

View on SEC IAPD

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