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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
CA RA APPROVED 2005-10-10
  • TX RA
    APPROVED_RES
    Since 2019-01-02
  • CA RA
    APPROVED
    Since 2005-10-10

Branch Locations

200 Fourth Street Suite 100, Santa Rosa, CA 95401-6213 • United States

935 Franklin Street, Napa, CA 94559 • 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
Charles Schwab & Co., Inc. Napa CA 10/2005 Present
Charles Schwab Bank Ssb Napa CA 10/2005 Present
Previous Registrations
  • 2000-09-21 → 2005-08-29
    Morgan Stanley Dw Inc.
    Napa, CA
Other Businesses

1) Rental Property | Investment Related:No|451-461 Riverside Dr|Napa|CA|94559|USA|Real Estate (Non-Agent/Broker)|Rental property|12/12/2016|Varies|0|My wife and I purchased rental property 451-461 Riverside Dr Napa CA 94559, 2) Rental Property | Investment Related:No|3420 Scenic Dr|Napa|CA|94558|USA|Real Estate (Non-Agent/Broker)|Rental Property Owner|5/6/2017|Varies|0|My wife and I purchase rental property 3420 Scenic Dr Napa CA 94558, 3) Rental property | Investment Related:No|1332/1334 Trower Ave|Napa|CA|94558|USA|Real Estate (Non-Agent/Broker)|Rental Property Owner|1/8/2020|Varies|0|My wife and I have purchased duplex at 1332/1334 Trower Ave. Napa CA 94558, 4) Investment property | Investment Related:No|4067 Tokay Dr|Napa|CA|94558|USA|Real Estate (Non-Agent/Broker)|Owner|12/16/2020|Varies|0|Townhouse investment property , 5) Investment Property | Investment Related:No|2021-2027 W Pueblo Ave|Napa|CA|94558|USA|Real Estate (Non-Agent/Broker)|Owner|4/26/2021|Varies|0|My wife and I purchased a four-plex and will keep as rental. We will manage the rental. , 6) Real Estate Owner | Investment Related:No|229 Jefferson St|Napa|CA|94559|US|Real Estate (Non-Agent/Broker)|Owner of Rental Property |10/19/2022|Less than 20|0.25|Owner of Rental Property , 7) Investment Property Owner | Investment Related:No|21 Winestone Ct|Napa|CA|94558|US|Real Estate (Non-Agent/Broker)|Owner|1/15/2026|Less than 20|0.1|Investment Property

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-02-25
  • S66 Uniform Combined State Law Examination
    2000-02-25
Other Names
  • Ben Gongora

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