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425 Market Street 17Th Floor, San Francisco, CA 94105 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2018-09-06 |
Branch Locations
900 Chapala St. Suite 100, Santa Barbara, CA 93101 • United States
2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Broad Reach Capital Management, Inc | Montecito | CA | 11/2012 | 01/2018 |
| Breakaway Capital Management, Llc. | Santa Barbara | CA | 01/2015 | 05/2018 |
| Charles Schwab & Co., Inc. | Santa Barbara | CA | 07/2018 | Present |
| Charles Schwab Bank, Ssb | Santa Barbara | CA | 07/2018 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-12-21 |
| S65 | Uniform Investment Adviser Law Examination | 2011-01-28 |
| S63 | Uniform Securities Agent State Law Examination | 2000-01-31 |
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