Max Romo Flores

Employer firm

Charles Schwab & Co., Inc. CRD 5393

955,800 advisory clients

Reported services (Item 5G)

• Financial planning
• Selection of other advisers
• WRAP FEE PROGRAM SPONSOR AND FINANCIAL PLANNING ADVISOR REFERRAL PROGRAM

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 11/2013 → 05/2018
  Charles Schwab & Co., Inc.
  Lone Tree, CO
• 02/2016 → 05/2018
  Charles Schwab Bank
  Lone Tree, CO
• 11/2019 → 07/2020
  Transamerica Investors Securities Corporation
  Denver, CO
• 01/2019 → 11/2019
  Comcast
  Centennial, CO
• 09/2018 → 01/2019
  Bellco Credit Union
  Parker, CO
• 05/2018 → 09/2018
  Not Employed
  Parker, CO
• 11/2019 → 07/2020
  Transamerica Life Insurance Company
  Denver, CO
• 07/2020 → Present
  Charles Schwab & Co., Inc.
  Lone Tree, CO

Previous Registrations

• 2019-11-06 → 2020-06-22
  Transamerica Retirement Advisors, Llc
  Denver, CO
• 2016-02-18 → 2018-05-24
  Charles Schwab & Co., Inc.
  Englewood, CO
  Lone Tree, CO

Exams

• S66 Uniform Combined State Law Examination
  2016-02-17
• S63 Uniform Securities Agent State Law Examination
  2014-08-18

Other Names

• Max Rom Flores
• Max Romo Flores
• Max Flores