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Michael Adam Walter

Charles Schwab & Co., Inc.

Santa Monica, CA

Encino, CA

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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 2020-01-04
CA RA APPROVED 2018-08-10
  • TX RA
    APPROVED
    Since 2020-01-04
  • CA RA
    APPROVED
    Since 2018-08-10

Branch Locations

826 Wilshire Blvd., Santa Monica, CA 90401-1810 • United States

16000 Ventura Boulevard Suite 102 & 1105, Encino, CA 91436 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Beverly Hills CA 10/2013 07/2018
Bank Of America N.A. Beverly Hills CA 03/2014 07/2018
Charles Schwab & Co., Inc. Santa Monica CA 07/2018 Present
Charles Schwab Bank, Ssb Santa Monica CA 07/2018 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-01-23
S63 Uniform Securities Agent State Law Examination 2012-02-24
  • S66 Uniform Combined State Law Examination
    2014-01-23
  • S63 Uniform Securities Agent State Law Examination
    2012-02-24
Other Names
  • Michael Walter
  • Michael Adam Walter
  • Michael A Walter

View on SEC IAPD

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