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Nicholas Stanton

Charles Schwab & Co., Inc.

Westlake, TX

Lincoln, RI

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Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
RI RA APPROVED 2022-01-26
  • RI RA
    APPROVED
    Since 2022-01-26

Branch Locations

3000 Schwab Way, Westlake, TX 76262-8104 • UNITED STATES

Lincoln, RI • 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
Td Ameritrade, Inc. Nashville TN 09/2012 12/2022
Charles Schwab & Co., Inc. Lincoln RI 12/2022 Present
Previous Registrations
  • 2012-10-18 → 2023-09-07
    Td Ameritrade Investment Management, Llc
    Brentwood, TN
    Providence, RI
    East Providence, RI
  • 2012-10-18 → 2022-10-14
    Td Ameritrade, Inc.
    Nashville, TN
    Providence, RI
    Glen Allen, VA
    East Providence, RI
    Westlake, TX
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-10-16
S63 Uniform Securities Agent State Law Examination 2008-09-09
  • S66 Uniform Combined State Law Examination
    2012-10-16
  • S63 Uniform Securities Agent State Law Examination
    2008-09-09
Designations
Other Names
  • Nick Stanton

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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