Nicholas Karl Hartung

Current Employers

Charles Schwab & Co., Inc.

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

Current Registrations

Authority	Category	Status	Date
NE	RA	APPROVED	2022-10-04

NE RA
APPROVED

Since 2022-10-04

Branch Locations

200 S. 108 Ave, Omaha, NE 68154 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Tdameritrade Inc	Omaha	NE	01/2010	06/2024
Charles Schwab & Co	Omaha	NE	01/2024	Present

01/2010 → 06/2024

Tdameritrade Inc

Omaha, NE
01/2024 → Present

Charles Schwab & Co

Omaha, NE

Previous Registrations

2010-04-06 → 2022-10-14

Td Ameritrade, Inc.

Omaha, NE

Omaha, NE

Omaha, NE
2010-04-06 → 2020-07-15

Td Ameritrade Investment Management, Llc

Omaha, NE

Omaha, NE
2008-07-18 → 2009-05-06

Securian Financial Services, Inc.

Omaha, NE

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2008-05-06

S66 Uniform Combined State Law Examination

2008-05-06

Other Names

Nicholas K Hartung

View on SEC IAPD

Current Employers

Charles Schwab & Co., Inc.

Disclosures

Employment History

Previous Registrations

Exams

Other Names

Other Firms

Other Investors

Other Offices

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