Herbert Daniel Pease

Current Employers

Employment History

• 03/2013 → 07/2019
  Charles Schwab Bank
  Oakland, CA
• 03/2013 → 07/2019
  Charles Schwab & Co., Inc.
  Oakland, CA
• 07/2019 → 08/2020
  Hsbc Bank Usa, N.A.
  New York, NY
• 08/2019 → 08/2020
  Hsbc Securities Usa, Inc.
  New York, NY
• 08/2020 → 07/2022
  Cavu Wealth Advisors
  Walnut Creek, CA
• 07/2022 → Present
  Mariner Wealth Advisors
  Danville, CA

Previous Registrations

• 2020-08-11 → 2022-08-04
  Cavu Wealth Advisors
  Walnut Creek, CA
• 2019-08-12 → 2020-08-13
  Hsbc Securities (Usa) Inc.
  San Francisco, CA
  Fremont, CA
  Oakland, CA
  Concord, CA
• 2013-12-18 → 2019-08-01
  Charles Schwab & Co., Inc.
  Berkeley, CA
  Oakland, CA
  Oakland, CA

Other Businesses

1) DE LA SALLE HIGH SCHOOL, CONCORD, CALIFORNIA, NOT INVESTMENT RELATED, 11/05/2012, ASSISTANT COACH FOR HIGH SCHOOL WRESTLING TEAM, BETWEEN 20 TO 40 HOURS PER MONTH, 0 HOURS DURING SECURITIES TRADING HOURS. 2) West Coast Greco Regional Training Center, President & Board Member, not investment-related, start date 05/2020, wrestling training center, 8 hrs/month, 0 hrs/month during trading hours 3) The First Tee of Contra Costa, Treasurer & Board Member, not investment-related, start date 9/2020, youth program, 8 hrs/month, 2 hrs/month during trading hours 4) De La Salle High School Alumni Association, not investment related, Concord, CA, Board Member, 8/1/219, 4 hrs. per month, 0 hrs. during trading hours, attend monthly meeting and engage alumni. (5) Colony Park Neighborhood Association; Not investment related, Concord, CA, Treasurer, Start date: 9/1/23, 2 hours per month, 0 hours during trading hours, Maintain books and records for CPNA, attend monthly meetings.

Exams

• S65 Uniform Investment Adviser Law Examination
  2013-12-17
• S63 Uniform Securities Agent State Law Examination
  2012-06-22

Designations

Other Names

• Danny Pease
• H Daniel Pease
• Dan Pease
• Herbert Daniel Pease
• Herbert D Pease