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425 Market Street 17Th Floor, San Francisco, CA 94105 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2019-07-11 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Portland | OR | 07/2004 | 06/2019 |
| Charles Schwab & Co., Inc. | Westlake | TX | 06/2019 | Present |
| Charles Schwab Bank | Westlake | TX | 02/2020 | Present |
1) FINRA | Investment Related:No|1735 K Street, NW|Washington|DC|20006|USA|Government|Arbitrator|1/1/2010|Less than 20|1|Serve as an arbitrator on a case about every 2-3 years. Cases are always vetted for any potential conflicts of interest
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2003-01-14 |
| S63 | Uniform Securities Agent State Law Examination | 1999-06-02 |
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