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Alexander Charles Rich

Charles Schwab & Co., Inc.

Menlo Park, CA

CRD 5978104

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Employer firm

Charles Schwab & Co., Inc. CRD 5393

955,800 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Selection of other advisers
  • WRAP FEE PROGRAM SPONSOR AND FINANCIAL PLANNING ADVISOR REFERRAL PROGRAM

From the firm’s Form ADV. Read the guides:

Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2019-01-07
  • CA RA
    APPROVED
    Since 2019-01-07

Branch Locations

800 El Camino Real Suite 100, Menlo Park, CA 94025-4875 • 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. Menlo Park CA 09/2011 Present
Schwab Private Client Investment Advisory, Inc. Phoenix AZ 05/2015 12/2018
Charles Schwab Bank Menlo Park CA 12/2018 Present
  • 09/2011 → Present
    Charles Schwab & Co., Inc.
    Menlo Park, CA
  • 05/2015 → 12/2018
    Schwab Private Client Investment Advisory, Inc.
    Phoenix, AZ
  • 12/2018 → Present
    Charles Schwab Bank
    Menlo Park, CA
Previous Registrations
Other Businesses

SELF EMPLOYED | NOT INVESTMENT RELATED | PHOENIX, ARIZONA | START DATE 06/29/2017 | RENTAL SERVICES | OWNER | LESS THAN 20 HOURS PER MONTH | 0 DURING SECURITIES TRADING HOURS.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-10-22
S63 Uniform Securities Agent State Law Examination 2011-12-09
  • S66 Uniform Combined State Law Examination
    2014-10-22
  • S63 Uniform Securities Agent State Law Examination
    2011-12-09
Other Names
  • Alexander Charles Reich

View on SEC IAPD

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