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Stephen Thomas Harley

Charles Schwab & Co., Inc.

Omaha, NE

Bellevue, WA

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Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
NE RA APPROVED 2022-12-05
  • NE RA
    APPROVED
    Since 2022-12-05

Branch Locations

200 S. 108 Ave, Omaha, NE 68154 • United States

11100 Ne 8Th St. Suite 250, Bellevue, WA 98004-4465 • 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
Ameritrade Bellevue NE 06/1996 12/2022
Charles Schwab And Co., Inc. Omaha NE 11/2022 Present
  • 06/1996 → 12/2022
    Ameritrade
    Bellevue, NE
  • 11/2022 → Present
    Charles Schwab And Co., Inc.
    Omaha, NE
Previous Registrations
  • 2005-06-20 → 2022-12-31
    Td Ameritrade Investment Management, Llc
    Bellevue, NE
    Omaha, NE
    Omaha, NE
  • 2013-10-29 → 2022-10-14
    Td Ameritrade, Inc.
    Omaha, NE
    Omaha, NE
    Omaha, NE
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-06-15
S63 Uniform Securities Agent State Law Examination 1996-07-08
  • S66 Uniform Combined State Law Examination
    2005-06-15
  • S63 Uniform Securities Agent State Law Examination
    1996-07-08
Other Names
  • Steve Harley

View on SEC IAPD

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