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Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2021-05-11 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| 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 |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-02-16 |
| S63 | Uniform Securities Agent State Law Examination | 1999-11-15 |
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