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425 Market Street 17Th Floor, San Francisco, CA 94105 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| PA | RA | APPROVED | 2019-03-12 |
Branch Locations
1152 Commerce Blvd. Suite 103, Dickson City, PA 18519 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| 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 |
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.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-02-16 |
| S63 | Uniform Securities Agent State Law Examination | 2007-09-26 |
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