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Samuel Asher Schwartz

Charles Schwab & Co., Inc.

Los Angeles, CA

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Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2020-08-14
  • CA RA
    APPROVED
    Since 2020-08-14

Branch Locations

1840 Century Park East Suite 100, Los Angeles, CA 90067 • 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
Charles Schwab & Co., Inc. Woodland Hills CA 07/2007 07/2018
Charles Schwab Bank Woodland Hills CA 08/2007 07/2018
Fidelity Brokerage Services Llc Los Angeles CA 08/2018 07/2020
Charles Schwab & Co., Inc. Los Angeles CA 08/2020 Present
Charles Schwab Bank Ssb Los Angeles CA 08/2020 Present
  • 07/2007 → 07/2018
    Charles Schwab & Co., Inc.
    Woodland Hills, CA
  • 08/2007 → 07/2018
    Charles Schwab Bank
    Woodland Hills, CA
  • 08/2018 → 07/2020
    Fidelity Brokerage Services Llc
    Los Angeles, CA
  • 08/2020 → Present
    Charles Schwab & Co., Inc.
    Los Angeles, CA
  • 08/2020 → Present
    Charles Schwab Bank Ssb
    Los Angeles, CA
Previous Registrations
  • 2022-07-01 → 2022-10-14
    Td Ameritrade, Inc.
    Los Angeles, CA
    Los Angeles, CA
    Los Angeles, CA
    Los Angeles, CA
    Woodland Hills, CA
    Thousand Oaks, CA
    Los Angeles, CA
    Los Angeles, CA
    Omaha, NE
  • 2018-09-19 → 2020-07-22
    Fidelity Personal And Workplace Advisors
    Los Angeles, CA
  • 2007-12-11 → 2018-08-02
    Charles Schwab & Co., Inc.
    Newport Beach, CA
    Los Angeles, CA
    Newport Beach, CA
    Woodland Hills, CA
Other Businesses

1) Growing Place | Investment Related:No|401 Ashland Ave|Santa Monica|CA|90405|USA|Education|Board Member|7/20/2025|Less than 20|0|I will help the organization maintain progress towards long term goals such as helping to support current fundraising initiatives and make sure proper board processes are in place. I will guide the CEO and staff where support is needed.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-12-10
  • S66 Uniform Combined State Law Examination
    2007-12-10
Designations
Other Names
  • Sam Schwartz

View on SEC IAPD

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Other Offices

POST ADVISORY GROUP, LLC · LOS ANGELES, CA
WESTMOUNT PARTNERS, LLC · LOS ANGELES, CA
GIDEON CAPITAL, LLC · LOS ANGELES, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · LOS ANGELES, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · LOS ANGELES, CA
TLG ADVISORS, INC. · Los Angeles, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · LOS ANGELES, CA
NORTHERN TRUST SECURITIES, INC. · LOS ANGELES, CA

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