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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_RES 2019-01-02
MD RA APPROVED 2016-12-05
  • TX RA
    APPROVED_RES
    Since 2019-01-02
  • MD RA
    APPROVED
    Since 2016-12-05

Branch Locations

7401 Wisconsin Ave Suite 100, Bethesda, MD 20814-3400 • United States

Disclosures

1 disclosure category 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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Tdameritrade Inc Washington DC 04/2011 10/2016
Charles Schwab Bank, Ssb Bethesda MD 10/2016 Present
Charles Schwab & Co., Inc. Bethesda MD 10/2016 Present
  • 04/2011 → 10/2016
    Tdameritrade Inc
    Washington, DC
  • 10/2016 → Present
    Charles Schwab Bank, Ssb
    Bethesda, MD
  • 10/2016 → Present
    Bethesda, MD
Previous Registrations
  • 2011-06-09 → 2016-10-18
    Td Ameritrade, Inc.
    Washington, DC
  • 2011-06-20 → 2016-10-18
    Td Ameritrade Investment Management, Llc
    Washington, DC
  • 2007-03-27 → 2007-11-12
    Mclean, VA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-05-12
  • S66 Uniform Combined State Law Examination
    2011-05-12

View on SEC IAPD

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