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425 Market Street 17Th Floor, San Francisco, CA 94105 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| PA | RA | APPROVED | 2024-08-13 |
Branch Locations
1650 Market Street Suite 102, Philadelphia, PA 19103-7301 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Highland Capital Funds Distributor, Inc. | Dallas | TX | 01/2014 | 05/2017 |
| Adp Broker Dealer Inc | West Des Moines | IA | 05/2017 | 06/2018 |
| Adp Llc | West Des Moines | IA | 05/2017 | 06/2018 |
| Prudential Insurance Company Of America | Dresher | PA | 06/2018 | 12/2019 |
| Prudential Annuities Distributors, Inc. | Dresher | PA | 06/2018 | 12/2019 |
| Pruco Securities Llc | Dresher | PA | 10/2018 | 12/2019 |
| Vanguard | Malvern | PA | 12/2019 | 01/2023 |
| Fidelity Investments | King Of Prussia | PA | 01/2023 | 08/2024 |
| Charles Schwab & Co., Inc. | Philadelphia | PA | 08/2024 | Present |
| Charles Schwab Bank, Ssb | Philadelphia | PA | 08/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2018-09-28 |
| S63 | Uniform Securities Agent State Law Examination | 2011-08-31 |
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