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425 Market Street 17Th Floor, San Francisco, CA 94105 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2022-01-25 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Texas Army National Guard | Austin | TX | 06/1990 | Present |
| Td Ameritrade, Inc. | Westlake | TX | 12/2006 | 06/2024 |
| Charles Schwab & Co., Inc. | Westlake | TX | 01/2022 | Present |
| Td Ameritrade Investment Management, Llc | Westlake | TX | 07/2017 | 06/2024 |
Name: Texas Military Department/Military Service, Role: Deputy Director of the Joint Staff, Type: Military Service, Start Date: 04/01/2019, Investment Related?: No, Address: Joint Forces Headquarters, P.O. Box 5218, Austin, TX 78763, Number of Hours/Mo: 16, Duties: Direct staff functions to provide timely information and solutions for the Texas Adjutant General. Crockem Travel Group LLC|Investment Related:No|Travel/Transportation/Tourism|Silent Partner|2022-10-15|HoursPerMonth:Less than 20|HoursSpentduringSecurityTrading:0|My wife started a Travel Advisory business and I am a silent partner.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2003-05-13 |
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