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Dan David Roasa

Charles Schwab & Co., Inc.

San Mateo, CA

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Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2021-01-06
  • CA RA
    APPROVED
    Since 2021-01-06

Branch Locations

1300 South El Camino Real Suite 110, San Mateo, CA 94402-2964 • 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 Investments San Jose CA 12/2015 11/2020
Fidelity Personal And Workplace Advisors Boston MA 07/2018 11/2020
Charles Schwab & Co., Inc. San Mateo CA 11/2020 Present
Charles Schwab Bank, Ssb San Mateo CA 11/2020 Present
  • 12/2015 → 11/2020
    Fidelity Investments
    San Jose, CA
  • 07/2018 → 11/2020
    Fidelity Personal And Workplace Advisors
    Boston, MA
  • 11/2020 → Present
    Charles Schwab & Co., Inc.
    San Mateo, CA
  • 11/2020 → Present
    Charles Schwab Bank, Ssb
    San Mateo, CA
Previous Registrations
  • 2018-07-13 → 2020-11-17
    Fidelity Personal And Workplace Advisors
    Boston, MA
  • 2016-03-24 → 2018-07-13
    Strategic Advisers Llc
    Pasadena, CA
    San Jose, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-02-25
S63 Uniform Securities Agent State Law Examination 2004-02-26
  • S65 Uniform Investment Adviser Law Examination
    2016-02-25
  • S63 Uniform Securities Agent State Law Examination
    2004-02-26

View on SEC IAPD

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CHRISTOPHER JAMES CALL
CLAY DEAN WILLIAM STAFFORD
Jacob Daly

Other Offices

NEWFRONT RETIREMENT SERVICES, INC. · SAN MATEO, CA
ESO MANAGEMENT SERVICES LLC · SAN MATEO, CA
FARMERS ASSET MANAGEMENT, LLC · San Mateo, CA
EAGLE STRATEGIES LLC · SAN MATEO, CA
LPL FINANCIAL LLC · SAN MATEO, CA
FISHER INVESTMENTS · SAN MATEO, CA
FISHER INVESTMENTS · SAN MATEO, CA
FISHER INVESTMENTS · SAN MATEO, CA

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