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Allen Edward Smith

Charles Schwab & Co., Inc.

Lone Tree, CO

CRD 5363712

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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
CO RA APPROVED 2017-08-02
  • CO RA
    APPROVED
    Since 2017-08-02

Branch Locations

9800 Schwab Way, Lone Tree, CO 80124 • 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
Raymond James Financial Services, Inc Corning NY 06/2007 05/2017
Corning Credit Union Corning NY 03/2005 05/2017
Raymond James Financial Services Advisors Corning NY 04/2009 05/2017
Charles Schwab & Co., Inc Lone Tree CO 07/2017 Present
  • 06/2007 → 05/2017
    Raymond James Financial Services, Inc
    Corning, NY
  • 03/2005 → 05/2017
    Corning Credit Union
    Corning, NY
  • 04/2009 → 05/2017
    Raymond James Financial Services Advisors
    Corning, NY
  • 07/2017 → Present
    Charles Schwab & Co., Inc
    Lone Tree, CO
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-10-29
  • S66 Uniform Combined State Law Examination
    2007-10-29

View on SEC IAPD

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