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425 Market Street 17Th Floor, San Francisco, CA 94105 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| VT | RA | APPROVED | 2022-03-08 |
Branch Locations
3000 Schwab Way, Westlake, TX 76262 • United States
30 Main Street, Burlington, VT 05401 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Thomaspartners, Inc. | Wellesley | MA | 12/2006 | 03/2018 |
| Windhaven Investment Management | Wellesley | MA | 04/2017 | 03/2018 |
| Charles Schwab Investment Advisory, Inc. | Burlington | VT | 01/2018 | 12/2021 |
| Charles Schwab & Co., Inc. | Burlington | VT | 01/2020 | Present |
| Charles Schwab Trust Bank | Burlington | VT | 12/2021 | Present |
1) Saint Michael's College|Investment Related: Yes|One Winooski Park, Colcester, Vermont, 05439, USA|Education|Investment Committee Member|11/19/2021|Less than 20 hour/month - 0.1 during trading hours|I will be 1 of ~8 members of the college's investment committee overseeing the school's endowment. The endowment is managed on a discretionary basis with the help of a 3rd party consultant.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2020-08-27 |
| S66 | Uniform Combined State Law Examination | 2004-11-02 |
| S65 | Uniform Investment Adviser Law Examination | 1999-11-12 |
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