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John Joseph Shanley

Charles Schwab & Co., Inc.

Lone Tree, CO

CRD 5513345

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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:

Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2020-01-06
CO RA APPROVED 2019-04-02
  • TX RA
    APPROVED_RES
    Since 2020-01-06
  • CO RA
    APPROVED
    Since 2019-04-02

Branch Locations

9800 Schwab Way, Lone Tree, CO 80124 • 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
National Planning Holdings Denver CO 12/2015 02/2018
Charles Schwab & Co., Inc. Lone Tree CO 03/2019 Present
Charles Schwab Bank Lone Tree CO 03/2019 Present
J. Joseph Consulting Highlands Ranch CO 03/2018 02/2019
  • 12/2015 → 02/2018
    National Planning Holdings
    Denver, CO
  • 03/2019 → Present
    Charles Schwab & Co., Inc.
    Lone Tree, CO
  • 03/2019 → Present
    Charles Schwab Bank
    Lone Tree, CO
  • 03/2018 → 02/2019
    J. Joseph Consulting
    Highlands Ranch, CO
Previous Registrations
  • 2016-02-11 → 2018-02-21
    National Planning Corporation
    Denver, CO
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-02-08
S63 Uniform Securities Agent State Law Examination 2010-05-18
  • S66 Uniform Combined State Law Examination
    2016-02-08
  • S63 Uniform Securities Agent State Law Examination
    2010-05-18
Other Names
  • Joe Shanley

View on SEC IAPD

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