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Shawn Carvalho

Charles Schwab & Co., Inc.

Phoenix, AZ

Temecula, CA

CRD 2976799

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Employer firm

Charles Schwab & Co., Inc. CRD 5393

955,800 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Selection of other advisers
  • WRAP FEE PROGRAM SPONSOR AND FINANCIAL PLANNING ADVISOR REFERRAL PROGRAM

From the firm’s Form ADV. Read the guides:

Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2000-11-14
  • CA RA
    APPROVED
    Since 2000-11-14

Branch Locations

2423 E Lincoln Dr, Phoenix, AZ 85016-1215 • United States

Temecula, CA • 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. Temecula CA 04/2000 Present
Charles Schwab Bank Temecula CA 02/2005 Present
Td Ameritrade Inc. Temecula CA 05/2023 12/2023
  • 04/2000 → Present
    Charles Schwab & Co., Inc.
    Temecula, CA
  • 02/2005 → Present
    Charles Schwab Bank
    Temecula, CA
  • 05/2023 → 12/2023
    Td Ameritrade Inc.
    Temecula, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-10-26
S63 Uniform Securities Agent State Law Examination 1997-12-31
  • S66 Uniform Combined State Law Examination
    2000-10-26
  • S63 Uniform Securities Agent State Law Examination
    1997-12-31
Other Names
  • Shawn Carvalho
  • Shawn J Carvalho
  • Shawn Joseph Carvalho

View on SEC IAPD

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