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Steven Lewis Smith

Charles Schwab & Co., Inc.

San Antonio, TX

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Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2007-06-29
  • TX RA
    APPROVED
    Since 2007-06-29

Branch Locations

1435 Loop 1604 West Suite 101, San Antonio, TX 78258 • 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. San Antonio TX 06/2007 Present
Charles Schwab Bank San Antonio TX 07/2007 Present
Previous Registrations
  • 2006-05-09 → 2007-06-20
    Usaa Financial Planning Services
    San Antonio, TX
  • 2003-09-12 → 2006-02-01
    Td Ameritrade, Inc.
    San Antonio, TX
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-07-24
S63 Uniform Securities Agent State Law Examination 1998-02-23
  • S66 Uniform Combined State Law Examination
    2003-07-24
  • S63 Uniform Securities Agent State Law Examination
    1998-02-23

View on SEC IAPD

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