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Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2025-01-23
  • CT RA
    APPROVED
    Since 2025-01-23

Branch Locations

300 Atlantic St. Suite 130, Stamford, CT 06901-3514 • 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
Euro Pacific Capital Inc. Westport CT 03/2006 10/2021
Merrill Lynch, Pierce, Fenner & Smith Incorporated Stamford CT 10/2021 10/2024
Bank Of America, N.A. Stamford CT 12/2021 10/2024
Charles Schwab & Co., Inc. Stamford CT 01/2025 Present
Charles Schwab Bank, Ssb Stamford CT 01/2025 Present
Previous Registrations
Other Businesses

1) FISH of Stamford, Inc. |Investment Related: No|PO Box 871, Stamford, CT, 06904, USA|Nonprofit Charitable Organizations|President, Board Member, Volunteer|7/1/2010|Less than 20 hour/month - 0 during trading hours|not financially compensated, no access to bank acct, nor do i have the ability to make financial decisions 2) 80 Mane Salon, LLc, dba Salon Anastassia, New Canaan|Investment Related:No|80 Main St ;New Canaan;CT ;06840;USA|Beauty Salon/Hair Salon/Aesthetician|Member/Chief Operating Officer |2026-04-27|HoursPerMonth:Less than 20|HoursSpentduringSecurityTrading:0|as a corporate officer and co-manager, authorized agent that can appear on behalf of the Company and is authorized to perform daily business operations, including but not limited to, marketing, negotiating contracts, and executing documents on behalf of the company, within the scope defined by the Managing Member. This is NOT a Financial or Banking authorized position

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2011-09-07
S63 Uniform Securities Agent State Law Examination 2004-08-02
  • S65 Uniform Investment Adviser Law Examination
    2011-09-07
  • S63 Uniform Securities Agent State Law Examination
    2004-08-02
Other Names
  • Marlon Vargas

View on SEC IAPD

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