Cade Rockwell Steen

Current Employers

Charles Schwab & Co., Inc.

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2023-03-23

TX RA
APPROVED_RES

Since 2023-03-23

Branch Locations

11800 Schwab Way, Austin, TX 78758 • 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 Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Usaa Financial Advisors, Inc	Tampa	FL	01/2007	05/2020
Usaa Financial Planning Services	Tampa	FL	01/2007	05/2020
Usaa Investment Management Company	Tampa	FL	01/2018	05/2020
Charles Schwab & Co., Inc.	Austin	TX	05/2020	Present
Charles Schwab Bank, Ssb	Temple Terrace	FL	05/2020	03/2023
Schwab Wealth Advisory, Inc.	Austin	TX	08/2026	Present

01/2007 → 05/2020

Usaa Financial Advisors, Inc

Tampa, FL
01/2007 → 05/2020

Usaa Financial Planning Services

Tampa, FL
01/2018 → 05/2020

Usaa Investment Management Company

Tampa, FL
05/2020 → Present

Charles Schwab & Co., Inc.

Austin, TX
05/2020 → 03/2023

Charles Schwab Bank, Ssb

Temple Terrace, FL
08/2026 → Present

Schwab Wealth Advisory, Inc.

Austin, TX

Previous Registrations

2018-01-08 → 2020-05-24

Usaa Investment Services Company

San Antonio, TX
2007-02-27 → 2018-01-08

Usaa Financial Planning Services

San Antonio, TX

San Antonio, TX

Virginia Beach, VA

Norfolk, VA

Tampa, FL
2006-04-06 → 2007-01-19

Ameriprise Financial Services, Llc

Austin, TX

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2006-03-28
S63	Uniform Securities Agent State Law Examination	2004-09-23

S66 Uniform Combined State Law Examination

2006-03-28
S63 Uniform Securities Agent State Law Examination

2004-09-23

Designations

Other Names

Cade Steen

View on SEC IAPD