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425 Market Street 17Th Floor, San Francisco, CA 94105 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2018-10-25 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Td Ameritrade | Fort Worth | TX | 12/2011 | 10/2018 |
| Charles Schwab & Co., Inc. | Westlake | TX | 10/2018 | Present |
| Charles Schwab Bank | Westlake | TX | 01/2021 | Present |
| Charles Schwab Premiere Bank | Westlake | TX | 01/2021 | Present |
| Charles Schwab Trust Bank | Westlake | TX | 01/2021 | Present |
The Carter Enterprise Group LLC|Investment Related:No|Retail|Owner/CEO|2024-05-02|HoursPerMonth:Varies|HoursSpentduringSecurityTrading:0|I will be the owner of TLC LLC and its subsidiaries.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2013-11-07 |
| S63 | Uniform Securities Agent State Law Examination | 2010-02-19 |
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