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Carlos Enrique Serna

Charles Schwab & Co., Inc.

Austin, TX

CRD 4613144

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Employer firm

Charles Schwab & Co., Inc. CRD 5393

955,800 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Selection of other advisers
  • WRAP FEE PROGRAM SPONSOR AND FINANCIAL PLANNING ADVISOR REFERRAL PROGRAM

From the firm’s Form ADV. Read the guides:

Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2016-04-14
  • TX RA
    APPROVED
    Since 2016-04-14

Branch Locations

11800 Schwab Way, Austin, TX 78758 • 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. Austin TX 08/2015 Present
Other Businesses

1) Home Construction | Investment Related:No|1027 Broken Arrow Lane|Alamo|TX|78516|United States|Construction - Residential/Commercial/Office|Reviewing plans online|10/2/2024|Less than 20|2|Review plans, purchasing supplies

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-04-14
S63 Uniform Securities Agent State Law Examination 2003-04-10
  • S66 Uniform Combined State Law Examination
    2016-04-14
  • S63 Uniform Securities Agent State Law Examination
    2003-04-10
Other Names
  • Carlos Serna

View on SEC IAPD

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