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Gautam Sobti

Charles Schwab & Co., Inc.

Chicago, IL

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Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2024-11-15
  • IL RA
    APPROVED
    Since 2024-11-15

Branch Locations

150 S. Wacker Drive Suite 100, Chicago, IL 60606 • 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
Optionsxpress Inc Chicago IL 01/2015 10/2017
Charles Schwab & Co., Inc. Chicago IL 01/2017 01/2024
Charles Schwab & Co., Inc. Chicago IL 10/2024 Present
Unemployed Chicago IL 02/2024 09/2024
Charles Schwab Bank, Ssb Chicago IL 11/2025 Present
  • 01/2015 → 10/2017
    Optionsxpress Inc
    Chicago, IL
  • 01/2017 → 01/2024
    Charles Schwab & Co., Inc.
    Chicago, IL
  • 10/2024 → Present
    Charles Schwab & Co., Inc.
    Chicago, IL
  • 02/2024 → 09/2024
    Unemployed
    Chicago, IL
  • 11/2025 → Present
    Charles Schwab Bank, Ssb
    Chicago, IL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-08-02
S63 Uniform Securities Agent State Law Examination 2015-07-02
  • S66 Uniform Combined State Law Examination
    2024-08-02
  • S63 Uniform Securities Agent State Law Examination
    2015-07-02

View on SEC IAPD

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Other Offices

BROWNSON, REHMUS & FOXWORTH, INC. · CHICAGO, IL
PFINGSTEN PARTNERS, L.L.C. · CHICAGO, IL
GUGGENHEIM FUNDS DISTRIBUTORS, LLC · CHICAGO, IL
GUGGENHEIM INVESTMENTS · CHICAGO, IL
PEKIN HARDY STRAUSS, INC. · CHICAGO, IL
SPIDERROCK ADVISORS, LLC · CHICAGO, IL
PROSPECT PARTNERS ADVISORS LLC · CHICAGO, IL
DOYENNE WEALTH ADVISORS · CHICAGO, IL

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