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Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2021-02-02
  • CA RA
    APPROVED
    Since 2021-02-02

Branch Locations

6250 Topanga Canyon Blvd Suite 1545, Woodland Hills, CA 91367 • 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
Fidelity Brokerage Services Llc Los Angeles CA 06/2014 03/2017
Oppenheimer & Co. Inc. Los Angeles CA 04/2017 08/2018
B.RIley Wealth Management, Inc. Memphis TN 08/2018 02/2020
Charles Schwab & Co., Inc. Woodland Hills CA 01/2021 Present
Charles Schwab Bank, Ssb Woodland Hills CA 01/2021 Present
Unemployed Los Angeles CA 02/2020 12/2020
  • 06/2014 → 03/2017
    Fidelity Brokerage Services Llc
    Los Angeles, CA
  • 04/2017 → 08/2018
    Oppenheimer & Co. Inc.
    Los Angeles, CA
  • 08/2018 → 02/2020
    B.RIley Wealth Management, Inc.
    Memphis, TN
  • 01/2021 → Present
    Woodland Hills, CA
  • 01/2021 → Present
    Charles Schwab Bank, Ssb
    Woodland Hills, CA
  • 02/2020 → 12/2020
    Unemployed
    Los Angeles, CA
Previous Registrations
  • 2018-08-23 → 2020-02-21
    B. Riley Wealth Management
    Los Angeles, CA
Other Businesses

1) Burton Family Enterprises LLC | Investment Related:No|10590 Wilshire Blvd #1502|Los Angeles|CA|90024|USA|Real Estate (Non-Agent/Broker)|Record Keeper|4/16/2008|Less than 20|0|Clerical duties involving paying vendors, updating and filing records, sending out notices to tenants., 2) 642 N HAYWORTH AVE LLC | Investment Related:No|Real Estate (Non-Agent/Broker)|MEMBER|10/18/2023|Less than 20|0|MEMBER OF LLC AND 25% BENEFICIAL OWNER, 3) 648 N HAYWORTH AVE LLC | Investment Related:No|Real Estate (Non-Agent/Broker)|Member|10/18/2023|Less than 20|0|Member and 25% beneficial owner, 4) 3543-3553 6TH AVE LLC | Investment Related:No|Real Estate (Non-Agent/Broker)|MEMBER|10/18/2023|Less than 20|0|I am only a member and beneficial owner. The other members will be doing the day to day activities of the LLC, 5) 909 N OGDEN DR LLC | Investment Related:No|Real Estate (Non-Agent/Broker)|Member|10/18/2023|Less than 20|0|I am a member with 25% beneficial ownership. I will not be doing any day to day duties

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-08-23
S63 Uniform Securities Agent State Law Examination 1997-11-14
  • S66 Uniform Combined State Law Examination
    2018-08-23
  • S63 Uniform Securities Agent State Law Examination
    1997-11-14

View on SEC IAPD

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