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Joseph M Swain

Charles Schwab & Co., Inc.

Fairfield, CT

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Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2022-04-25
  • CT RA
    APPROVED
    Since 2022-04-25

Branch Locations

1248 Post Road Suite 100, Fairfield, CT 06824-6008 • 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
Charles Schwab & Co., Inc. Henderson NV 06/2014 02/2021
Charles Schwab Bank, Ssb Henderson NV 06/2014 02/2021
Fidelity Investments West Hartford CT 02/2021 04/2022
Charles Schwab & Co., Inc. Fairfield CT 04/2022 Present
Charles Schwab Bank, Ssb Fairfield CT 04/2022 Present
  • 06/2014 → 02/2021
    Charles Schwab & Co., Inc.
    Henderson, NV
  • 06/2014 → 02/2021
    Charles Schwab Bank, Ssb
    Henderson, NV
  • 02/2021 → 04/2022
    Fidelity Investments
    West Hartford, CT
  • 04/2022 → Present
    Charles Schwab & Co., Inc.
    Fairfield, CT
  • 04/2022 → Present
    Charles Schwab Bank, Ssb
    Fairfield, CT
Previous Registrations
  • 2021-04-08 → 2022-03-24
    Fidelity Personal And Workplace Advisors
    West Hartford, CT
  • 2014-08-27 → 2021-02-26
    Charles Schwab & Co., Inc.
    Henderson, NV
    Las Vegas, NV
    Henderson, NV
    Las Vegas, NV
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-08-23
S63 Uniform Securities Agent State Law Examination 2012-01-27
  • S66 Uniform Combined State Law Examination
    2014-08-23
  • S63 Uniform Securities Agent State Law Examination
    2012-01-27
Other Names
  • Joseph Swain
  • Joseph Michael Swain
  • Joe Swain

View on SEC IAPD

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