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Daniel George Nicholas Simon

Charles Schwab & Co., Inc.

Richfield, OH

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Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2020-07-22
  • OH RA
    APPROVED
    Since 2020-07-22

Branch Locations

4150 Kinross Lakes Pkwy, Richfield, OH 44286 • 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. Richfield OH 11/2012 Present
Schwab Retirement Plan Services, Inc. Richfield OH 06/2017 Present
  • 11/2012 → Present
    Charles Schwab & Co., Inc.
    Richfield, OH
  • 06/2017 → Present
    Schwab Retirement Plan Services, Inc.
    Richfield, OH
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-06-25
S63 Uniform Securities Agent State Law Examination 2012-01-07
  • S66 Uniform Combined State Law Examination
    2013-06-25
  • S63 Uniform Securities Agent State Law Examination
    2012-01-07
Other Names
  • Daniel Simon
  • Dan Simon
  • Daniel Gn Simon

View on SEC IAPD

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Other Offices

SCHWAB WEALTH ADVISORY, INC. · Richfield, OH
SCHWAB WEALTH ADVISORY, INC. · Richfield, OH
CHARLES SCHWAB INVESTMENT MANAGEMENT, INC · Richfield, OH
EDWARD JONES · Richfield, OH
RABE INVESTMENT CONSULTING GROUP · RICHFIELD, OH
SIKICH FINANCIAL · Richfield, OH
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Richfield, OH
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Richfield, OH

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