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Nick S Berard

Charles Schwab & Co., Inc.

Denver, CO

Denver, CO

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Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2019-01-02
CO RA APPROVED 2008-05-08
  • TX RA
    APPROVED_RES
    Since 2019-01-02
  • CO RA
    APPROVED
    Since 2008-05-08

Branch Locations

200 Clayton Street Suite 100, Denver, CO 80206 • United States

1701 Platte Street Suite 131, Denver, CO 80202 • 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. Denver CO 03/2007 Present
Charles Schwab Bank, Ssb Denver CO 04/2007 Present
Other Businesses

Rocky Mountain Officials | Investment Related: No | 19483 E. Tufts Cir; Centennia; CO; 80015; usa | Sports/Physical Recreation | Umpire | 2023-03-06 | Hours Per Month: Less than 20 | Hours Spent during Security Trading: 0

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-07-31
S63 Uniform Securities Agent State Law Examination 2001-01-26
  • S66 Uniform Combined State Law Examination
    2007-07-31
  • S63 Uniform Securities Agent State Law Examination
    2001-01-26
Other Names
  • Nick Sean Berard
  • Nicholas Sean Berard

View on SEC IAPD

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Other Offices

EXCELLERE PARTNERS · DENVER, CO
ALPINE QUANTITATIVE MANAGEMENT, LLC · DENVER, CO
MORGAN STANLEY · Denver, CO
CETERA INVESTMENT ADVISERS LLC · DENVER, CO
DREAM U.S. MANAGER LLC · DENVER, CO
KSL CAPITAL PARTNERS · DENVER, CO
CIBC PRIVATE WEALTH ADVISORS, INC. · Denver, CO
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