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Rodrigo Esperon

Charles Schwab & Co., Inc.

West Hartford, CT

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 2022-11-29
OH RA APPROVED 2020-10-21
  • CT RA
    APPROVED
    Since 2022-11-29
  • OH RA
    APPROVED
    Since 2020-10-21

Branch Locations

11 South Main Street, West Hartford, CT 06107 • United States

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
Scottrade, Inc. Jersey City NJ 07/2016 09/2020
Td Ameritrade, Inc. Manhattan NY 02/2018 09/2020
Td Ameritrade Investment Management, Llc Omaha NE 02/2018 09/2020
Charles Schwab & Co., Inc. Fairfield CT 09/2020 Present
Charles Schwab Bank, Ssb Fairfield CT 09/2020 Present
  • 07/2016 → 09/2020
    Scottrade, Inc.
    Jersey City, NJ
  • 02/2018 → 09/2020
    Td Ameritrade, Inc.
    Manhattan, NY
  • 02/2018 → 09/2020
    Td Ameritrade Investment Management, Llc
    Omaha, NE
  • 09/2020 → Present
    Charles Schwab & Co., Inc.
    Fairfield, CT
  • 09/2020 → Present
    Charles Schwab Bank, Ssb
    Fairfield, CT
Previous Registrations
  • 2022-04-04 → 2022-10-14
    Td Ameritrade, Inc.
    Miamisburg, OH
    Omaha, NE
    Fairfield, CT
  • 2020-01-17 → 2020-09-21
    Tsa Management Inc
    Glen Head, NY
  • 2019-10-17 → 2019-12-31
    Tsa Management Inc
    Glen Head, NY
  • 2018-02-27 → 2019-09-11
    Td Ameritrade, Inc.
    New York, NY
    Manhattan, NY
  • 2018-02-26 → 2019-09-11
    Td Ameritrade Investment Management, Llc
    Omaha, NE
    New York, NY
  • 2017-01-31 → 2018-02-26
    Scottrade Investment Management
    Saint Louis, MO
  • 2015-12-10 → 2016-08-08
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    White Plains, NY
    White Plains, NY
    New York, NY
    New Rochelle, NY
    New Rochelle, NY
    New York, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-10-10
S63 Uniform Securities Agent State Law Examination 2011-10-31
  • S65 Uniform Investment Adviser Law Examination
    2015-10-10
  • S63 Uniform Securities Agent State Law Examination
    2011-10-31
Other Names
  • Rod Esperon
  • Rodrigo Esperon
  • Rodrigo J Esperon

View on SEC IAPD

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