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Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2026-01-05
CO RA APPROVED 2014-12-08
  • TX RA
    APPROVED_RES
    Since 2026-01-05
  • CO RA
    APPROVED
    Since 2014-12-08

Branch Locations

200 Clayton Street Suite 100, Denver, CO 80206 • United States

9899 Schwab Way Suite 100, Lone Tree, CO 80124-5377 • 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 Denver CO 08/2011 Present
Charles Schwab Bank Denver CO 11/2014 Present
  • 08/2011 → Present
    Charles Schwab & Co.,Inc
    Denver, CO
  • 11/2014 → Present
    Charles Schwab Bank
    Denver, CO
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-12-08
S63 Uniform Securities Agent State Law Examination 2011-10-28
  • S66 Uniform Combined State Law Examination
    2014-12-08
  • S63 Uniform Securities Agent State Law Examination
    2011-10-28

View on SEC IAPD

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