Chau My Quach

Charles Schwab & Co., Inc.

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Current Employers

Charles Schwab & Co., Inc.

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

Current Registrations

Authority	Category	Status	Date
NC	RA	APPROVED	2023-09-08
TX	RA	APPROVED	2017-10-04

NC RA
APPROVED

Since 2023-09-08
TX RA
APPROVED

Since 2017-10-04

Branch Locations

3000 Schwab Way, Westlake, TX 76262 • United States

Asheville, NC • 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

Organization	City	State	From	To
Kestra Financial Services, Inc.	Austin	TX	04/2016	12/2016
Charles Schwab & Co., Inc.	Asheville	NC	08/2017	Present
Goldman Sachs	New York	NY	12/2016	08/2017

04/2016 → 12/2016

Kestra Financial Services, Inc.

Austin, TX
08/2017 → Present

Charles Schwab & Co., Inc.

Asheville, NC
12/2016 → 08/2017

Goldman Sachs

New York, NY

Previous Registrations

2016-04-18 → 2016-12-16

Kestra Advisory Services, Llc

Austin, TX
2010-10-21 → 2016-09-22

Kestra Investment Services, Llc

Austin, TX
2009-07-08 → 2010-10-13

Commonwealth Financial Network

Austin, TX

San Diego, CA
2009-03-25 → 2009-07-07

Oppenheimer & Co. Inc.

Austin, TX
2004-10-28 → 2009-03-20

Banc Of America Investment Services, Inc.

Austin, TX

Austin, TX

Other Businesses

RENTAL PROPERTY | AUSTIN, TEXAS | NOT INVESTMENT RELATED | START DATE 05/01/2015 | RENTAL PROPERTY OWNER | LESS THAN 20 HOURS PER MONTH | NONE DURING SECURITIES TRADING HOURS.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2004-10-25

S66 Uniform Combined State Law Examination

2004-10-25

Other Names

Chau Quach
Chau M Quach

View on SEC IAPD

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