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Benjamin Shen

Charles Schwab & Co., Inc.

Rowland Heights, CA

Arcadia, 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
TX RA APPROVED 2019-01-02
CA RA APPROVED 2018-04-09
  • TX RA
    APPROVED
    Since 2019-01-02
  • CA RA
    APPROVED
    Since 2018-04-09

Branch Locations

19708 Colima Road, Rowland Heights, CA 91748 • United States

134 East Huntington Drive Suite A, Arcadia, CA 91006 • 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
Scottrade Honolulu HI 05/2004 02/2018
Td Ameritrade, Inc. Huntington Beach CA 02/2018 04/2018
Td Ameritrade Investment Management, Llc Omaha NE 02/2018 04/2018
Charles Schwab & Co., Inc. Rowland Heights CA 04/2018 Present
Charles Schwab Bank Rowland Heights CA 04/2018 Present
  • 05/2004 → 02/2018
    Scottrade
    Honolulu, HI
  • 02/2018 → 04/2018
    Td Ameritrade, Inc.
    Huntington Beach, CA
  • 02/2018 → 04/2018
    Td Ameritrade Investment Management, Llc
    Omaha, NE
  • 04/2018 → Present
    Charles Schwab & Co., Inc.
    Rowland Heights, CA
  • 04/2018 → Present
    Charles Schwab Bank
    Rowland Heights, CA
Previous Registrations
  • 2018-02-27 → 2018-04-03
    Td Ameritrade, Inc.
    Huntington Beach, CA
  • 2018-02-26 → 2018-04-03
    Td Ameritrade Investment Management, Llc
    Omaha, NE
  • 2017-07-11 → 2018-02-26
    Scottrade Investment Management
    Saint Louis, MO
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-07-11
S63 Uniform Securities Agent State Law Examination 2004-06-09
  • S66 Uniform Combined State Law Examination
    2017-07-11
  • S63 Uniform Securities Agent State Law Examination
    2004-06-09
Other Names
  • Bin Shen
  • Ben Shen

View on SEC IAPD

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Other Offices

J.P. MORGAN SECURITIES LLC · Rowland Height, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · ROWLAND HEIGHTS, CA
PFS INVESTMENTS INC. · DIAMOND BAR, CA
LPL FINANCIAL LLC · DIAMOND BAR, CA
CITIGROUP GLOBAL MARKETS INC. · ROWLAND HEIGHTS, CA
CETERA INVESTMENT ADVISERS LLC · CITY OF INDUSTRY, CA
CETERA INVESTMENT ADVISERS LLC · DIAMOND BAR, CA
LPL FINANCIAL LLC · DIAMOND BAR, CA

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