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425 Market Street 17Th Floor, San Francisco, CA 94105 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2023-05-01 |
Branch Locations
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Scottrade, Inc | Encino | CA | 08/2001 | 03/2018 |
| Unemployed | Sherman Oaks | CA | 04/2018 | 08/2018 |
| Charles Schwab & Co., Inc. | Cary | NC | 09/2018 | Present |
| Charles Schwab Bank, Ssb | Cary | NC | 09/2018 | Present |
1. Mark Morales | Retail | Start Date 04/23/2021| The routine sale of goods which include collectibles and collectible sneakers | Less than 20 hrs monthly | No business during trading hrs.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-03-20 |
| S63 | Uniform Securities Agent State Law Examination | 2002-10-04 |
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