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Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
MN RA APPROVED 2022-12-02
  • MN RA
    APPROVED
    Since 2022-12-02

Branch Locations

7914 Mitchell Road, Eden Prairie, MN 55344 • 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
Fidelity Brokerage Services Llc Edina MN 06/2013 10/2020
Fidelity Personal And Workplace Advisors Boston MA 07/2018 10/2020
Charles Schwab & Co., Inc. Eden Prairie MN 11/2022 Present
Unemployed League City TX 11/2020 10/2021
Unemployed Apple Valley MN 10/2021 10/2022
  • 06/2013 → 10/2020
    Fidelity Brokerage Services Llc
    Edina, MN
  • 07/2018 → 10/2020
    Fidelity Personal And Workplace Advisors
    Boston, MA
  • 11/2022 → Present
    Eden Prairie, MN
  • 11/2020 → 10/2021
    Unemployed
    League City, TX
  • 10/2021 → 10/2022
    Unemployed
    Apple Valley, MN
Previous Registrations
  • 2018-07-13 → 2020-10-23
    Fidelity Personal And Workplace Advisors
    Boston, MA
  • 2013-11-08 → 2018-07-13
    Oakdale, MN
    Highland Park, IL
  • 2009-08-17 → 2013-06-12
    Td Ameritrade, Inc.
    Washington, DC
    Glen Allen, VA
    Birmingham, MI
  • 2009-08-17 → 2013-06-12
    Td Ameritrade Investment Management, Llc
    Washington, DC
    Richmond, VA
    Birmingham, MI
Other Businesses

1) Rental Property - Farmland | Investment Related:No|***Farmland doesn't have a physical street address***|Nicollet|MN|56074|USA|Real Estate (Non-Agent/Broker)|Owner of farmland-Personal Investment|12/8/2017|Less than 20|0|No responsibilities or job title other then once a year receiving rental income for the investment in farmland that I own. , 2) Wels LLC | Investment Related:Yes|7914 Mitchell RD|Eden Prairie|MN|55344|USA|Financial Services|Independent Branch Owner|11/21/2022|More than 40|8|Entity established exclusively in connection with the rep's independent broker relationship with the firm for liability, protection and tax purposes.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-04-29
S63 Uniform Securities Agent State Law Examination 2006-05-15
  • S66 Uniform Combined State Law Examination
    2023-04-29
  • S63 Uniform Securities Agent State Law Examination
    2006-05-15

View on SEC IAPD

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