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Asa Clayton Alliston

Charles Schwab & Co., Inc.

Athens, GA

Westlake, TX

CRD 5293683

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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
GA RA APPROVED 2018-03-08
  • GA RA
    APPROVED
    Since 2018-03-08

Branch Locations

Athens, GA • United States

3000 Schwab Way, Westlake, TX 76262-8104 • 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
Trademark Capital Management, Inc. Bogart GA 01/2014 01/2017
Lincoln Financial Advisors Athens GA 06/2017 12/2017
Unemployed Athens GA 01/2017 06/2017
Charles Schwab & Co., Inc. Athens GA 12/2017 Present
Previous Registrations
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2017-07-28
S65 Uniform Investment Adviser Law Examination 2007-10-03
  • S63 Uniform Securities Agent State Law Examination
    2017-07-28
  • S65 Uniform Investment Adviser Law Examination
    2007-10-03
Other Names
  • Clay Alliston
  • Asa Clayton Alliston
  • Asa Clayton Alliston
  • Asa Alliston

View on SEC IAPD

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