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100 Stony Point Rd, Suite 244, Santa Rosa, CA 95401 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-01-01 |
Branch Locations
100 Stony Point Rd, Suite 244, Santa Rosa, CA 95401 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Charles Schwab & Co., Inc. | Santa Rosa | CA | 01/2021 | 04/2022 |
| Charles Schwab Bank, Ssb | Santa Rosa | CA | 08/2013 | 04/2022 |
| Charles Schwab & Co., Inc. | Santa Rosa | CA | 07/2014 | 01/2021 |
| Swad Wealth Management, Llc | Santa Rosa | CA | 05/2022 | Present |
REAL ESTATE/PROPERTY MANAGEMENT, INDIANAPOLIS, INDIANA, NOT INVESTMENT RELATED, 06/01/2013, PROPERTY OWNER, LESS THAN 20 HOURS PER MONTH, 0 HOURS DURING SECURITIES TRADING HOURS. LICENSED INSURANCE AGENT; INSURANCE CA LICENSE #0164480; DOES NOT INTEND TO SOLICIT ANY INSURANCE PRODUCTS; DOES NOT RECEIVE INSURANCE COMMISSIONS; 1 HOUR PER MONTH; 0 HOURS DURING SECURITIES TRADING HOURS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2013-08-20 |
| S63 | Uniform Securities Agent State Law Examination | 2011-10-07 |
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