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Sean Francis Flood

Charles Schwab & Co., Inc.

Westlake, TX

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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 2020-07-01
  • TX RA
    APPROVED
    Since 2020-07-01

Branch Locations

3000 Schwab Way, Westlake, TX 76262 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated White Plains NY 06/2013 01/2018
Bank Of America, N.A. White Plains NY 06/2013 01/2018
Keybank Na Tarrytown NY 01/2018 04/2019
Key Investment Services Llc Cleveland OH 01/2019 04/2019
Charles Schwab Bank, Ssb Westlake TX 05/2019 Present
Charles Schwab & Co., Inc. Westlake TX 05/2019 Present
  • 06/2013 → 01/2018
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    White Plains, NY
  • 06/2013 → 01/2018
    Bank Of America, N.A.
    White Plains, NY
  • 01/2018 → 04/2019
    Keybank Na
    Tarrytown, NY
  • 01/2019 → 04/2019
    Key Investment Services Llc
    Cleveland, OH
  • 05/2019 → Present
    Charles Schwab Bank, Ssb
    Westlake, TX
  • 05/2019 → Present
    Charles Schwab & Co., Inc.
    Westlake, TX
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-07-01
S63 Uniform Securities Agent State Law Examination 2008-02-01
  • S66 Uniform Combined State Law Examination
    2020-07-01
  • S63 Uniform Securities Agent State Law Examination
    2008-02-01
Other Names
  • Sean Francis Flood
  • Sean F Flood

View on SEC IAPD

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Other Offices

STRATEGIC ADVISERS LLC · WESTLAKE, TX
STRATEGIC ADVISERS LLC · WESTLAKE, TX
FIDELITY INSTITUTIONAL WEALTH ADVISER LLC · WESTLAKE, TX
EDWARD JONES · Westlake, TX
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Trophy Club, TX
LPL FINANCIAL LLC · TROPHY CLUB, TX
ADVISOR RESOURCE COUNCIL · Trophy Club, TX
EDWARD JONES · TROPHY CLUB, TX

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