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425 Market Street 17Th Floor, San Francisco, CA 94105 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NE | RA | APPROVED | 2022-10-04 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ameritrade, Inc. | Bellevue | NE | 04/2004 | 04/2023 |
| Td Waterhouse Investor Services, Inc. | Bellevue | NE | 04/2006 | 04/2023 |
| Charles Schwab & Co., Inc. | Omaha | NE | 04/2023 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-09-12 |
| S63 | Uniform Securities Agent State Law Examination | 2005-03-28 |
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