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Scott William Riesen

Charles Schwab & Co., Inc.

Santa Barbara, 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 2018-11-21
  • CA RA
    APPROVED
    Since 2018-11-21

Branch Locations

900 Chapala St. Suite 100, Santa Barbara, CA 93101 • 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
Tdameritrade Inc Portland OR 12/2008 11/2018
Self Employed Orlando FL 11/2009 Present
Charles Schwab & Co., Inc. Santa Barbara CA 11/2018 Present
Charles Schwab Bank, Ssb Santa Barbara CA 04/2024 Present
  • 12/2008 → 11/2018
    Tdameritrade Inc
    Portland, OR
  • 11/2009 → Present
    Self Employed
    Orlando, FL
  • 11/2018 → Present
    Charles Schwab & Co., Inc.
    Santa Barbara, CA
  • 04/2024 → Present
    Charles Schwab Bank, Ssb
    Santa Barbara, CA
Previous Registrations
  • 2009-01-30 → 2018-11-06
    Td Ameritrade, Inc.
    Portland, OR
    Santa Barbara, CA
  • 2009-01-30 → 2018-11-06
    Td Ameritrade Investment Management, Llc
    Portland, OR
    Santa Barbara, CA
  • 2007-03-06 → 2008-09-05
    Morgan Keegan & Company, Llc
    Longwood, FL
    Winter Park, FL
  • 2006-05-15 → 2007-02-20
    Amsouth Investment Management Company Llc
    Memphis, TN
  • 2004-10-05 → 2005-12-31
    Waddell & Reed
    Maitland, FL
Other Businesses

RENTAL PROPERTY| NOT INVESTMENT RELATED| ORLANDO, FL| RENTAL PROPERTY| LANDLORD-RENTAL MANAGEMENT RESPONSIBILITIES| START DATE 09.01.2008| FOR LESS THAN 20 HOURS PER MONTH| NONE DURING TRADING HOURS| OWNER OF RENTAL PROPERTY

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2005-01-28
S65 Uniform Investment Adviser Law Examination 2004-10-01
  • S63 Uniform Securities Agent State Law Examination
    2005-01-28
  • S65 Uniform Investment Adviser Law Examination
    2004-10-01
Designations
Other Names
  • Scott W Riesen

View on SEC IAPD

Other Firms

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CERITY PARTNERS LLC
J.P. MORGAN SECURITIES LLC
SAFEGUARD INVESTMENT ADVISORY GROUP, LLC
KINGSWOOD WEALTH ADVISORS, LLC
MORGAN STANLEY
LPL FINANCIAL LLC
PLANMEMBER SECURITIES CORPORATION

Other Investors

DARIN CARLTON MAST
Eric Scott Wasmuth
CLAYTON ROBERT GIBSON
John Spruill
MONICA T WILLIAMS
Josh N Macaluso
Richard J Marcellin
Timothy Emmanuel Jou

Other Offices

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SANTA BARBARA, CA
CERITY PARTNERS LLC · SANTA BARBARA, CA
CERITY PARTNERS LLC · SANTA BARBARA, CA
J.P. MORGAN SECURITIES LLC · SANTA BARBARA, CA
SAFEGUARD INVESTMENT ADVISORY GROUP, LLC · Santa Barbara, CA
KINGSWOOD WEALTH ADVISORS, LLC · Santa Barbara, CA
MORGAN STANLEY · Santa Barbara, CA
LPL FINANCIAL LLC · SANTA BARBARA, CA

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