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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-10-02 |
Branch Locations
9465 Wilshire Boulevard Suite 700, Beverly Hills, CA 90212-2351 • United States
Los Angeles, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Charles Schwab & Co.,Inc | Seal Beach | CA | 11/2009 | 08/2017 |
| Charles Schwab Bank | Seal Beach | CA | 09/2014 | 08/2017 |
| Matthew Plocher | Los Angeles | CA | 09/2017 | 10/2017 |
| Unemployed | Los Angeles | CA | 10/2017 | 05/2018 |
| Rbc Capital Markets, Llc. | Beverly Hills | CA | 05/2018 | 06/2022 |
| Wells Fargo Clearing Services, Llc | San Diego | CA | 06/2022 | 09/2023 |
| Rbc Capital Markets, Llc | Beverly Hill | CA | 09/2023 | Present |
| Northwestern Mutual Investment Services Llc | Los Angeles | CA | 09/2017 | 10/2017 |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2020-07-27 |
| S63 | Uniform Securities Agent State Law Examination | 2012-04-30 |
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