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Christopher Laurence Swaine

Charles Schwab & Co., Inc.

Pasadena, 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
TX RA APPROVED 2024-04-11
CA RA APPROVED 2023-11-03
  • TX RA
    APPROVED
    Since 2024-04-11
  • CA RA
    APPROVED
    Since 2023-11-03

Branch Locations

251 S. Lake Ave. Suite 150, Pasadena, CA 91101 • 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
E*Trade Securities Llc Los Angeles CA 01/2016 02/2017
E*Trade Capital Management Llc Los Angeles CA 01/2016 02/2017
Llbh Private Wealth Management, Llc Los Angeles CA 03/2017 03/2018
Checchi Capital Advisers, Llc Los Angeles CA 03/2018 09/2018
Arbor Court Capital, Llc Beverly Hills CA 04/2018 10/2018
E*Trade Securities Llc Los Angeles CA 03/2019 10/2023
E*Trade Capital Management Llc Los Angeles CA 03/2019 10/2023
Unemployed Santa Monica CA 11/2018 03/2019
Morgan Stanley Los Angeles CA 03/2023 10/2023
Morgan Stanley Los Angeles CA 09/2023 10/2023
Morgan Stanley Los Angeles CA 09/2023 10/2023
Charles Schwab & Co., Inc. Pasadena CA 10/2023 Present
Charles Schwab Bank, Ssb Pasadena CA 10/2023 Present
  • 01/2016 → 02/2017
    E*Trade Securities Llc
    Los Angeles, CA
  • 01/2016 → 02/2017
    E*Trade Capital Management Llc
    Los Angeles, CA
  • 03/2017 → 03/2018
    Llbh Private Wealth Management, Llc
    Los Angeles, CA
  • 03/2018 → 09/2018
    Checchi Capital Advisers, Llc
    Los Angeles, CA
  • 04/2018 → 10/2018
    Arbor Court Capital, Llc
    Beverly Hills, CA
  • 03/2019 → 10/2023
    E*Trade Securities Llc
    Los Angeles, CA
  • 03/2019 → 10/2023
    E*Trade Capital Management Llc
    Los Angeles, CA
  • 11/2018 → 03/2019
    Unemployed
    Santa Monica, CA
  • 03/2023 → 10/2023
    Morgan Stanley
    Los Angeles, CA
  • 09/2023 → 10/2023
    Morgan Stanley
    Los Angeles, CA
  • 09/2023 → 10/2023
    Morgan Stanley
    Los Angeles, CA
  • 10/2023 → Present
    Charles Schwab & Co., Inc.
    Pasadena, CA
  • 10/2023 → Present
    Charles Schwab Bank, Ssb
    Pasadena, CA
Previous Registrations
  • 2023-09-05 → 2023-11-01
    Morgan Stanley
    Los Angeles, CA
  • 2019-03-13 → 2023-09-05
    Harrisdirect Llc
    Los Angeles, CA
    Arlington, VA
    Los Angeles, CA
  • 2018-03-30 → 2018-11-08
    Checchi Capital Advisers, Llc
    Beverly Hills, CA
  • 2017-03-08 → 2018-03-05
    Coastal Bridge Advisors
    Los Angeles, CA
  • 2016-01-06 → 2017-02-23
    Harrisdirect Llc
    Los Angeles, CA
    Arlington, VA
  • 2012-08-06 → 2016-01-06
    Td Ameritrade, Inc.
    Chicago, IL
  • 2012-08-06 → 2016-01-06
    Td Ameritrade Investment Management, Llc
    Chicago, IL
  • 2009-04-29 → 2012-01-05
    Oppenheimer & Co. Inc.
    Chicago, IL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2009-03-02
S63 Uniform Securities Agent State Law Examination 2008-11-10
  • S65 Uniform Investment Adviser Law Examination
    2009-03-02
  • S63 Uniform Securities Agent State Law Examination
    2008-11-10
Other Names
  • Christopher Laurence Swaine
  • Christopher Swaine

View on SEC IAPD

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Other Offices

CMR CAPITAL MANAGEMENT, LLC · PASADENA, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · PASADENA, CA
STRATEGY ASSET MANAGERS L.L.C. · PASADENA, CA
MML INVESTORS SERVICES, LLC · Pasadena, CA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · PASADENA, CA
NASDAQ DORSEY WRIGHT · Pasadena, CA
U.S. BANCORP ADVISORS, LLC · Pasadena, CA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Pasadena, CA

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