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Michael Keith Smith

Charles Schwab & Co., Inc.

Indian Wells, CA

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Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2014-09-08
  • CA RA
    APPROVED
    Since 2014-09-08

Branch Locations

74785 Highway 111 Suite 102, Indian Wells, CA 92210-7129 • 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. Indian Wells CA 11/2007 Present
Charles Schwab Bank, Ssb Indian Wells CA 06/2010 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-09-05
S63 Uniform Securities Agent State Law Examination 2008-06-04
  • S66 Uniform Combined State Law Examination
    2014-09-05
  • S63 Uniform Securities Agent State Law Examination
    2008-06-04

View on SEC IAPD

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