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Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2019-03-12
  • PA RA
    APPROVED
    Since 2019-03-12

Branch Locations

1152 Commerce Blvd. Suite 103, Dickson City, PA 18519 • 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
Scottrade, Inc. Scranton PA 06/2007 02/2018
Td Ameritrade, Inc. Moosic PA 02/2018 03/2019
Td Ameritrade Investment Management, Llc Omaha NE 02/2018 03/2019
Charles Schwab & Co., Inc. Dickson City PA 03/2019 Present
  • 06/2007 → 02/2018
    Scottrade, Inc.
    Scranton, PA
  • 02/2018 → 03/2019
    Td Ameritrade, Inc.
    Moosic, PA
  • 02/2018 → 03/2019
    Td Ameritrade Investment Management, Llc
    Omaha, NE
  • 03/2019 → Present
    Dickson City, PA
Previous Registrations
  • 2018-02-27 → 2019-03-11
    Td Ameritrade, Inc.
    Moosic, PA
  • 2018-02-26 → 2019-03-11
    Td Ameritrade Investment Management, Llc
    Omaha, NE
    Moosic, PA
  • 2017-02-16 → 2018-02-26
    Scottrade Investment Management
    Saint Louis, MO
Other Businesses

1) Hart Ventures LLC | Investment Related:No|1152 Commerce Blvd, Ste 3|Dickson City|PA|18519||Retail|Owner|3/22/2019|Less than 20|0|Entity was established to facilitate operation of branch. In consultation with my lawyer we decided to hold off and reevaluate end of year. Basically it only exists on paper and will no activity/operations until further notice.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-02-16
S63 Uniform Securities Agent State Law Examination 2007-09-26
  • S66 Uniform Combined State Law Examination
    2017-02-16
  • S63 Uniform Securities Agent State Law Examination
    2007-09-26

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