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Michael Louis Santos

Charles Schwab & Co., Inc.

Raleigh, NC

Chapel Hill, NC

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Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2023-08-14
  • NC RA
    APPROVED
    Since 2023-08-14

Branch Locations

4313 Glenwood Avenue, Raleigh, NC 27612 • United States

1108 Environ Way, Chapel Hill, NC 27517-4418 • 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
Scottrade Raleigh NC 02/2016 09/2018
Td Ameritrade, Inc. Raleigh NC 02/2018 09/2023
Td Ameritrade Investment Management, Llc Omaha NE 02/2018 09/2023
Charles Schwab & Co., Inc. Raleigh NC 08/2023 Present
Charles Schwab Bank, Ssb Raleigh NC 09/2023 Present
  • 02/2016 → 09/2018
    Scottrade
    Raleigh, NC
  • 02/2018 → 09/2023
    Td Ameritrade, Inc.
    Raleigh, NC
  • 02/2018 → 09/2023
    Td Ameritrade Investment Management, Llc
    Omaha, NE
  • 08/2023 → Present
    Charles Schwab & Co., Inc.
    Raleigh, NC
  • 09/2023 → Present
    Charles Schwab Bank, Ssb
    Raleigh, NC
Previous Registrations
  • 2018-02-26 → 2023-09-07
    Td Ameritrade Investment Management, Llc
    Omaha, NE
    Raleigh, NC
    Raleigh, NC
  • 2018-02-27 → 2022-10-14
    Td Ameritrade, Inc.
    Raleigh, NC
  • 2017-01-30 → 2018-02-26
    Scottrade Investment Management
    Saint Louis, MO
  • 2012-05-09 → 2016-01-27
    Td Ameritrade, Inc.
    Paramus, NJ
  • 2012-05-09 → 2016-01-27
    Td Ameritrade Investment Management, Llc
    Paramus, NJ
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-05-08
S63 Uniform Securities Agent State Law Examination 2010-01-08
  • S66 Uniform Combined State Law Examination
    2012-05-08
  • S63 Uniform Securities Agent State Law Examination
    2010-01-08
Other Names
  • Michael Santos

View on SEC IAPD

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Other Offices

TOWNSEND ASSET MANAGEMENT CORP. · RALEIGH, NC
FORTRESS PRIVATE LEDGER, LLC · RALEIGH, NC
OLDE RALEIGH FINANCIAL GROUP · RALEIGH, NC
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · RALEIGH, NC
ADVISORY SERVICES NETWORK · RALEIGH, NC
FORTRESS PRIVATE LEDGER, LLC · RALEIGH, NC
WELLS FARGO CLEARING SERVICES, LLC · RALEIGH, NC
EDWARD JONES · RALEIGH, NC

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