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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 2022-10-07
  • CA RA
    APPROVED
    Since 2022-10-07

Branch Locations

1958/1950/1991/2001 Summit Park Dr. Orlando Campus, Orlando, FL 32810 • United States

San Diego, 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
Td Ameritrade Inc. San Diego CA 07/2010 12/2022
Charles Schwab And Co., Inc. San Diego CA 12/2022 Present
  • 07/2010 → 12/2022
    Td Ameritrade Inc.
    San Diego, CA
  • 12/2022 → Present
    Charles Schwab And Co., Inc.
    San Diego, CA
Previous Registrations
  • 2003-07-31 → 2022-10-14
    Td Ameritrade, Inc.
    San Diego, CA
    San Diego, CA
    San Diego, CA
    San Diego, CA
  • 2008-06-19 → 2008-11-17
    Td Ameritrade Investment Management, Llc
    Lajolla, CA
Other Businesses

Name of Outside Business:Rental; Investment Related:No; Address of Outside Business:San Diego, CA; Nature of Outside Business:Rental Property; Position:Owner; Start Date:11/15/2018; Hours per month: 0-10; Hours per month during securities trading hours: No; Description of Duties: I'll be renting my condo

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-07-29
S63 Uniform Securities Agent State Law Examination 1998-02-20
  • S66 Uniform Combined State Law Examination
    2003-07-29
  • S63 Uniform Securities Agent State Law Examination
    1998-02-20

View on SEC IAPD

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