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Sean Phillip Peck

Charles Schwab & Co., Inc.

Lone Tree, CO

CRD 5242261

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Employer firm

Charles Schwab & Co., Inc. CRD 5393

955,800 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Selection of other advisers
  • WRAP FEE PROGRAM SPONSOR AND FINANCIAL PLANNING ADVISOR REFERRAL PROGRAM

From the firm’s Form ADV. Read the guides:

Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2023-08-08
CO RA APPROVED 2008-07-11
  • TX RA
    APPROVED_RES
    Since 2023-08-08
  • CO RA
    APPROVED
    Since 2008-07-11

Branch Locations

9800 Schwab Way, Lone Tree, CO 80124 • 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
Charles Schwab & Co, Inc Lone Tree CO 06/2008 Present
Previous Registrations
  • 2007-03-22 → 2008-07-02
    Credit Suisse Securities (Usa) Llc
    New York, NY
Other Businesses

1) Sean Peck | Investment Related:No|2944 Zuni Street, #10|Denver|CO|80211|USA|Real Estate (Non-Agent/Broker)|Owner|1/6/2013|Less than 20|0|Owner of property, will be renting property to help pay mortgage. Likely a long term rental property.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-03-21
  • S66 Uniform Combined State Law Examination
    2007-03-21

View on SEC IAPD

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