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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 2025-01-29
  • CA RA
    APPROVED
    Since 2025-01-29

Branch Locations

Oakland, CA • United States

9800 Schwab Way, Lone Tree, CO 80124 • 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
Charles Schwab & Co., Inc. San Francisco CA 11/2013 12/2021
Charles Schwab Bank San Francisco CA 11/2013 12/2021
Fidelity Investments San Francisco CA 12/2021 01/2025
Charles Schwab & Co, Inc Oakland CA 01/2025 Present
Previous Registrations
  • 2022-01-12 → 2025-01-06
    Fidelity Personal And Workplace Advisors
    San Francisco, CA
  • 2013-11-19 → 2021-12-17
    San Francisco, CA
    San Francisco, CA
    Austin, TX
    Lone Tree, CO
  • 2012-12-20 → 2013-10-29
    Usaa Financial Planning Services
    San Francisco, CA
  • 2010-02-08 → 2012-11-30
    San Mateo, CA
    Los Altos, CA
  • 2009-07-23 → 2010-01-15
    Harrisdirect Llc
    Arlington, VA
  • 2007-02-12 → 2009-04-02
    San Carlos, CA
    San Mateo, CA
    San Mateo, CA
    St Louis, MO
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-02-05
S63 Uniform Securities Agent State Law Examination 2006-05-12
  • S66 Uniform Combined State Law Examination
    2007-02-05
  • S63 Uniform Securities Agent State Law Examination
    2006-05-12
Designations

View on SEC IAPD

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