Session Blain Rainwater

Current Employers

Charles Schwab & Co., Inc.

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2022-01-27

TX RA
APPROVED

Since 2022-01-27

Branch Locations

3000 Schwab Way, Westlake, TX 76262 • United States

9800 Schwab Way, Lone Tree, CO 80124 • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Td Ameritrade	Fort Worth	TX	08/2011	12/2022
Charles Schwab And Co., Inc.	Fort Worth	TX	12/2022	Present

08/2011 → 12/2022

Td Ameritrade

Fort Worth, TX
12/2022 → Present

Charles Schwab And Co., Inc.

Fort Worth, TX

Previous Registrations

2013-09-19 → 2023-09-07

Td Ameritrade Investment Management, Llc

Fort Worth, TX

Southlake, TX

Westlake, TX
2013-09-19 → 2022-10-14

Td Ameritrade, Inc.

Omaha, NE

Fort Worth, TX

Westlake, TX

Fort Worth, TX

Westlake, TX

Westlake, TX

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2013-08-29
S63	Uniform Securities Agent State Law Examination	2011-10-03

S66 Uniform Combined State Law Examination

2013-08-29
S63 Uniform Securities Agent State Law Examination

2011-10-03

View on SEC IAPD

Current Employers

Charles Schwab & Co., Inc.

Disclosures

Employment History

Previous Registrations

Exams

Other Firms

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