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425 Market Street 17Th Floor, San Francisco, CA 94105 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2022-01-09 |
| FL | RA | APPROVED | 2021-01-06 |
Branch Locations
1958/1950/1991/2001 Summit Park Dr. Orlando Campus, Orlando, FL 32810 • United States
9800 Schwab Way, Lone Tree, CO 80124 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Michael Brozzo And Heather Sunderman | Orlando | FL | 06/2014 | 01/2018 |
| Windhaven Investment Management, Inc. | Boston | MA | 10/2014 | 03/2018 |
| Thomaspartners, Inc. | Boston | MA | 08/2016 | 03/2018 |
| Charles Schwab Investment Advisory, Inc. | Orlando | FL | 01/2018 | 12/2021 |
| Charles Schwab & Co., Inc. | Orlando | FL | 01/2020 | Present |
(1)MICHAEL BROZZO AND HEATHER SUNDERMAN, NON INVESTMENT-RELATED, ORLANDO FL., REAL ESTATE/PROPERTY MANAGEMENT, LANDLORD, 06/01/14, LESS THAN 20 HRS PER MONTH, NONE DURING SECURITIES TRADING HOURS, LANDLORD OF RENTAL PROPERTY. (2)GfK CUSTOM RESEARCH NORTH AMERICA, NON INVESTMENT-RELATED, PALO ALTO, CA., INTERNET SERVICES PARTICIPANT, 10/24/2014, LESS THAN 20 HOURS PER MONTH, NON DURING SECURITIES TRADING HOURS.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2020-10-09 |
| S66 | Uniform Combined State Law Examination | 2007-07-06 |
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