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425 Market Street 17Th Floor, San Francisco, CA 94105 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NJ | RA | APPROVED | 2019-05-20 |
Branch Locations
132 Nassau St Floor 1, Princeton, NJ 08542-7006 • United States
55 Broad St, Red Bank, NJ 07701 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Weehawken | NJ | 06/2014 | 04/2019 |
| Charles Schwab & Co., Inc | Princeton | NJ | 05/2019 | Present |
| Charles Schwab Bank | Princeton | NJ | 05/2016 | Present |
1) Patricia's Fund Inc. | Investment Related:No|47 Eisenehower Drive|East Quogue|NY|11942|USA|Nonprofit Charitable Organizations|Board Member|1/2/2023|Less than 20|0|Founding board member, general board governance responsibilities. No financial services or investment related responsibilities at this time
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-06-19 |
| S63 | Uniform Securities Agent State Law Examination | 2000-10-13 |
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