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425 Market Street 17Th Floor, San Francisco, CA 94105 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2023-05-30 |
| TX | RA | APPROVED_RES | 2019-01-02 |
| CA | RA | APPROVED | 2018-09-18 |
Branch Locations
Indianapolis, IN • United States
4150 Kinross Lakes Pkwy, Richfield, OH 44286 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Charles Schwab & Co., Inc. | Scottsdale | AZ | 05/2016 | Present |
| Schwab Private Client Investment Advisory, Inc. | Indianapolis | IN | 05/2016 | 07/2017 |
| Charles Schwab Bank | Scottsdale | AZ | 07/2017 | Present |
Puma Palace LLC | not investment related | Indianapolis, Indiana | start date 11/14/2018 | President | sole owner | lease of condominium | less than 20 hours per month | none during securities trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2013-08-12 |
| S63 | Uniform Securities Agent State Law Examination | 2011-05-20 |
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