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Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2022-05-13
  • NJ RA
    APPROVED
    Since 2022-05-13

Branch Locations

132 Nassau St Floor 1, Princeton, NJ 08542-7006 • 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
Blackrock Investments, Inc. Plainsboro NJ 04/2007 04/2022
Charles Schwab & Co., Inc Princeton NJ 05/2022 Present
Charles Schwab Bank, Ssb Princeton NJ 05/2022 Present
  • 04/2007 → 04/2022
    Blackrock Investments, Inc.
    Plainsboro, NJ
  • 05/2022 → Present
    Princeton, NJ
  • 05/2022 → Present
    Charles Schwab Bank, Ssb
    Princeton, NJ
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-09-04
S63 Uniform Securities Agent State Law Examination 2001-06-06
  • S65 Uniform Investment Adviser Law Examination
    2008-09-04
  • S63 Uniform Securities Agent State Law Examination
    2001-06-06

View on SEC IAPD

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