Roy Alejandro Chavez-guerra

Current Employers

Charles Schwab & Co., Inc.

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

Current Registrations

Authority	Category	Status	Date
AZ	RA	APPROVED	2023-05-26
TX	RA	APPROVED	2019-01-02
CA	RA	APPROVED	2006-04-07

AZ RA
APPROVED

Since 2023-05-26
TX RA
APPROVED

Since 2019-01-02
CA RA
APPROVED

Since 2006-04-07

Branch Locations

7293 N Scottsdale Rd Suite 107, Scottsdale, AZ 85253 • 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 No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Charles Schwab & Co., Inc.	Scottsdale	AZ	01/2000	Present
Charles Schwab Bank, Ssb	Scottsdale	AZ	04/2008	Present
N/A	Peoria	AZ	06/2013	04/2021

01/2000 → Present

Charles Schwab & Co., Inc.

Scottsdale, AZ
04/2008 → Present

Charles Schwab Bank, Ssb

Scottsdale, AZ
06/2013 → 04/2021

N/A

Peoria, AZ

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2006-04-06
S63	Uniform Securities Agent State Law Examination	2000-06-15

S66 Uniform Combined State Law Examination

2006-04-06
S63 Uniform Securities Agent State Law Examination

2000-06-15

Other Names

Roy Chavez
Roy Alejandro Chavez
Roy Chavez-Guerra
Roy A Chavez-Guerra

View on SEC IAPD

Current Employers

Charles Schwab & Co., Inc.

Disclosures

Employment History

Exams

Other Names

Other Firms

Other Investors

Other Offices

Reviews