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Tracy Pearson Schmuhl

Charles Schwab & Co., Inc.

Napa, CA

Santa Rosa, CA

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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 2021-10-12
  • CA RA
    APPROVED
    Since 2021-10-12

Branch Locations

935 Franklin Street, Napa, CA 94559 • United States

200 Fourth Street Suite 100, Santa Rosa, CA 95401-6213 • 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. Napa CA 12/2020 Present
Charles Schwab Bank Ssb Napa CA 12/2020 Present
Homemaker Windsor CA 10/2004 07/2018
Self Employed Windsor CA 04/2017 12/2020
Capabunga Wndsor CA 07/2018 03/2020
  • 12/2020 → Present
    Charles Schwab & Co., Inc.
    Napa, CA
  • 12/2020 → Present
    Charles Schwab Bank Ssb
    Napa, CA
  • 10/2004 → 07/2018
    Homemaker
    Windsor, CA
  • 04/2017 → 12/2020
    Self Employed
    Windsor, CA
  • 07/2018 → 03/2020
    Capabunga
    Wndsor, CA
Previous Registrations
  • 1998-09-21 → 2003-12-18
    Banc Of America Investment Services, Inc.
    Santa Rosa, CA
Other Businesses

Tracy Schmuhl - self|Investment Related:No|Legal Services|Notary provider|2024-05-15|HoursPerMonth:Less than 20|HoursSpentduringSecurityTrading:0|Notary services

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2021-10-12
S63 Uniform Securities Agent State Law Examination 2020-11-17
S66 Uniform Combined State Law Examination 1998-04-13
  • S65 Uniform Investment Adviser Law Examination
    2021-10-12
  • S63 Uniform Securities Agent State Law Examination
    2020-11-17
  • S66 Uniform Combined State Law Examination
    1998-04-13
Designations
Other Names
  • Tracy Leah Pearson

View on SEC IAPD

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Other Offices

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · NAPA, CA
MORGAN STANLEY · Napa, CA
HARRINGTON INVESTMENTS, INC. · NAPA, CA
LPL FINANCIAL LLC · NAPA, CA
HARRINGTON INVESTMENTS, INC. · NAPA, CA
WELLS FARGO CLEARING SERVICES, LLC · NAPA, CA
5T WEALTH, LLC · NAPA, CA
BENEFITS PLUS, LLC · NAPA, CA

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