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Charles Schwab & Co., Inc. CRD 5393
955,800 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
425 Market Street 17Th Floor, San Francisco, CA 94105 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2021-02-01 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanely | Chicago | IL | 11/2007 | 12/2019 |
| Trent L Mausser | Chicago | IL | 12/2019 | 08/2020 |
| Michael O Neill | Chicago | IL | 01/2020 | 08/2020 |
| Northwestern Mutual Investment Services Llc | Chicago | IL | 06/2020 | 08/2020 |
| Charles Schwab & Co., Inc. | Flossmoor | IL | 11/2020 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2009-10-09 |
| S63 | Uniform Securities Agent State Law Examination | 1998-03-17 |
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