Best Investors Account Sign in

Shane Stephen Smith

Charles Schwab & Co., Inc.

Parker, CO

Westlake, TX

Claim This Profile
Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2022-10-05
  • CO RA
    APPROVED
    Since 2022-10-05

Branch Locations

Parker, CO • United States

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
Oppenheimerfunds Distributor, Inc. Englewood CO 10/2001 05/2018
Transamerica Capital, Inc. Denver CO 06/2018 09/2018
Charles Schwab & Co., Inc. Parker CO 09/2018 Present
Charles Schwab Bank Lone Tree CO 09/2018 01/2019
Charles Schwab Trust Bank Parker CO 01/2019 Present
Charles Schwab Investment Advisory, Inc. Lone Tree CO 01/2021 12/2021
  • 10/2001 → 05/2018
    Oppenheimerfunds Distributor, Inc.
    Englewood, CO
  • 06/2018 → 09/2018
    Transamerica Capital, Inc.
    Denver, CO
  • 09/2018 → Present
    Charles Schwab & Co., Inc.
    Parker, CO
  • 09/2018 → 01/2019
    Charles Schwab Bank
    Lone Tree, CO
  • 01/2019 → Present
    Charles Schwab Trust Bank
    Parker, CO
  • 01/2021 → 12/2021
    Charles Schwab Investment Advisory, Inc.
    Lone Tree, CO
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-10-05
S63 Uniform Securities Agent State Law Examination 2008-05-27
  • S66 Uniform Combined State Law Examination
    2022-10-05
  • S63 Uniform Securities Agent State Law Examination
    2008-05-27
Other Names
  • Shane Stephen Smith
  • Shane Smith

View on SEC IAPD

More in Parker, CO

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor