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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 2021-05-11
  • TX RA
    APPROVED
    Since 2021-05-11

Branch Locations

3000 Schwab Way, Westlake, TX 76262 • 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
Scottrade, Inc. Laguna Niguel CA 11/2013 09/2018
Td Ameritrade, Inc. Omaha NE 02/2018 04/2021
Charles Schwab & Co., Inc. Westlake TX 04/2021 Present
  • 11/2013 → 09/2018
    Scottrade, Inc.
    Laguna Niguel, CA
  • 02/2018 → 04/2021
    Td Ameritrade, Inc.
    Omaha, NE
  • 04/2021 → Present
    Westlake, TX
Previous Registrations
  • 2018-03-13 → 2021-05-11
    Td Ameritrade Investment Management, Llc
    Indian Wells, CA
    Southlake, TX
    Murrieta, CA
    Indian Wells, CA
  • 2018-03-13 → 2021-05-10
    Td Ameritrade, Inc.
    Omaha, NE
    Indian Wells, CA
    St. Louis, MO
    Traverse City, MI
    Westlake, TX
    Murrieta, CA
    Indian Wells, CA
  • 2016-09-22 → 2018-03-13
    Scottrade Investment Management
    Saint Louis, MO
  • 2013-07-31 → 2013-10-25
    Newport Beach, CA
  • 2012-02-09 → 2013-05-02
    Td Ameritrade, Inc.
    Mission Viejo, CA
  • 2012-02-09 → 2013-05-02
    Td Ameritrade Investment Management, Llc
    Mission Viejo, CA
  • 2011-03-16 → 2012-01-23
    Chase Investment Services Corp.
    Huntington Beach, CA
    Huntington Beach, CA
    Fountain Valley, CA
  • 2009-11-20 → 2010-09-15
    Howard Capital Management
    Los Angeles, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-02-16
S63 Uniform Securities Agent State Law Examination 1999-11-15
  • S65 Uniform Investment Adviser Law Examination
    2005-02-16
  • S63 Uniform Securities Agent State Law Examination
    1999-11-15

View on SEC IAPD

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