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Stephen Mcleod

Charles Schwab & Co., Inc.

Sarasota, FL

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Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2025-12-12
  • FL RA
    APPROVED
    Since 2025-12-12

Branch Locations

100 University Town Center Drive, Sarasota, FL 34243 • 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. Chicaco IL 07/1997 02/2018
Wall Capital Group, Inc. Phoenix AZ 02/2018 05/2020
Vimvest Securities, Llc Sarasota FL 06/2020 09/2021
Viewtrade Securities, Inc. Sarasota FL 06/2020 09/2021
Lpl Financial Llc Sarasota FL 11/2021 03/2025
Neutral Madison WI 03/2025 09/2025
Charles Schwab & Co., Inc. Sarasota FL 12/2025 Present
Charles Schwab Bank, Ssb Sarasota FL 12/2025 Present
Previous Registrations
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2026-03-23
S65 Uniform Investment Adviser Law Examination 2018-11-15
  • S63 Uniform Securities Agent State Law Examination
    2026-03-23
  • S65 Uniform Investment Adviser Law Examination
    2018-11-15
Other Names
  • Stephen Andrew Mcleod

View on SEC IAPD

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