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Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2021-04-07
  • FL RA
    APPROVED
    Since 2021-04-07

Branch Locations

3000 Schwab Way, Westlake, TX 76262-8104 • UNITED STATES

Marco Island, FL • 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
Capitalrock Investments, Llc Naples FL 01/2013 10/2016
Capitalrock Financial, Llc Naples FL 08/2015 01/2017
Platinum Wealth Partners, Inc Tampa FL 05/2016 10/2016
Charles Schwab & Co., Inc. Boca Raton FL 12/2016 11/2019
Td Ameritrade Naples FL 12/2019 01/2021
Charles Schwab & Co., Inc. Boca Raton FL 01/2021 Present
Td Ameritrade, Inc. Marco Island FL 07/2021 06/2024
  • 01/2013 → 10/2016
    Capitalrock Investments, Llc
    Naples, FL
  • 08/2015 → 01/2017
    Capitalrock Financial, Llc
    Naples, FL
  • 05/2016 → 10/2016
    Platinum Wealth Partners, Inc
    Tampa, FL
  • 12/2016 → 11/2019
    Boca Raton, FL
  • 12/2019 → 01/2021
    Td Ameritrade
    Naples, FL
  • 01/2021 → Present
    Boca Raton, FL
  • 07/2021 → 06/2024
    Td Ameritrade, Inc.
    Marco Island, FL
Previous Registrations
  • 2021-10-07 → 2022-10-14
    Td Ameritrade, Inc.
    Boca Raton, FL
    Boca Raton, FL
    Omaha, NE
    Boca Raton, FL
  • 2019-12-19 → 2021-01-29
    Td Ameritrade, Inc.
    Naples, FL
  • 2019-12-26 → 2021-01-29
    Td Ameritrade Investment Management, Llc
    Naples, FL
  • 2017-02-02 → 2019-12-03
    Boca Raton, FL
  • 2015-12-03 → 2017-01-31
    Capitalrock Financial, Llc
    Naples, FL
  • 2013-03-15 → 2016-11-07
    Capitalrock Investments, Llc
    Aventura, FL
    Naples, FL
  • 2016-06-10 → 2016-11-02
    Platinum Wealth Partners
    Naples, FL
    Tampa, FL
  • 2015-05-28 → 2016-03-23
    Qid Llc
    Naples, FL
  • 2012-05-21 → 2013-04-01
    First Allied Advisory Services, Inc.
    Naples, FL
  • 2012-01-10 → 2012-07-02
    First Allied Securities, Inc.
    Bonita Springs, FL
  • 2009-04-23 → 2012-01-04
    Naples, FL
Other Businesses

Name: Akwa Marina Yacht Club LLC, Role: Partner, Type: Other, Start Date: 02/13/2002, Investment Related?: No, Address: 95 Centenary Ave, Laconia, NH 03246, Duties: none

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2017-05-20
S66 Uniform Combined State Law Examination 2008-04-15
  • S63 Uniform Securities Agent State Law Examination
    2017-05-20
  • S66 Uniform Combined State Law Examination
    2008-04-15
Other Names
  • Troy M Mailloux
  • Troy Michael Mailloux
  • Troy Mailloux

View on SEC IAPD

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