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425 Market Street 17Th Floor, San Francisco, CA 94105 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-08-11 |
Branch Locations
16 Hill Street Suite 6, Southampton, NY 11968 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Charles Schwab & Co., Inc. | Smithtown | NY | 01/2012 | 05/2018 |
| Charles Schwab Bank | Smithtown | NY | 01/2012 | 05/2018 |
| E*Trade Securities Llc | Garden City | NY | 06/2018 | 07/2021 |
| E*Trade Capital Management Llc | Garden City | NY | 06/2018 | 07/2021 |
| Charles Schwab & Co., Inc. | Southampton | NY | 08/2021 | Present |
| Charles Schwab Bank, Ssb | Southampton | NY | 08/2021 | Present |
1) Enlighten Surf and Sport | Investment Related:No|Sports/Physical Recreation|Owner|5/1/2018|Less than 20|0|Owner of a sports and recreation retailer. Emphasis on Surfboards and surf supplies. The business will operate as appointment only on weekends and weekday evening.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-02-05 |
| S63 | Uniform Securities Agent State Law Examination | 1998-09-21 |
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