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Michael Anthony Posner

Charles Schwab & Co., Inc.

Encino, CA

Los Angeles, 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 2022-01-26
  • CA RA
    APPROVED
    Since 2022-01-26

Branch Locations

16000 Ventura Boulevard Suite 102 & 1105, Encino, CA 91436 • United States

11601 Wilshire Blvd. Suite 100, Los Angeles, CA 90025 • United States

Disclosures

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.

  • Regulatory action No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Td Ameritrade, Inc. Santa Monica CA 06/2014 12/2022
Charles Schwab & Co., Inc. Los Angeles CA 12/2022 Present
Charles Schwab Bank, Ssb Los Angeles CA 12/2022 Present
  • 06/2014 → 12/2022
    Td Ameritrade, Inc.
    Santa Monica, CA
  • 12/2022 → Present
    Charles Schwab & Co., Inc.
    Los Angeles, CA
  • 12/2022 → Present
    Charles Schwab Bank, Ssb
    Los Angeles, CA
Previous Registrations
  • 2014-07-01 → 2023-09-07
    Td Ameritrade Investment Management, Llc
    Santa Monica, CA
  • 2014-07-01 → 2022-10-14
    Td Ameritrade, Inc.
    Los Angeles, CA
  • 2010-06-17 → 2014-06-09
    New England Securities
    Woodland Hills, CA
  • 2008-03-18 → 2009-03-26
    Banc Of America Investment Services, Inc.
    Los Angeles, CA
    Playa Vista, CA
    Culver City, CA
  • 2005-08-30 → 2008-01-31
    Presidio Capital Advisors, Llc
    San Francisco, CA
    Los Angeles, CA
  • 2002-02-05 → 2005-08-29
    Morgan Stanley Dw Inc.
    Beverly Hls, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-05-25
  • S66 Uniform Combined State Law Examination
    2001-05-25

View on SEC IAPD

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