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Howard Keung Mak

Charles Schwab & Co., Inc.

Stamford, CT

Irvine, 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
CA RA APPROVED 2022-11-10
  • CA RA
    APPROVED
    Since 2022-11-10

Branch Locations

300 Atlantic St. Suite 130, Stamford, CT 06901-3514 • United States

Irvine, CA • 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
Fidelity Personal And Workplace Advisors Boston MA 07/2018 09/2022
Fidelity Investments Los Angeles CA 05/2016 09/2022
Charles Schwab & Co., Inc. San Mateo CA 10/2022 Present
Charles Schwab Bank, Ssb San Mateo CA 10/2022 Present
  • 07/2018 → 09/2022
    Fidelity Personal And Workplace Advisors
    Boston, MA
  • 05/2016 → 09/2022
    Fidelity Investments
    Los Angeles, CA
  • 10/2022 → Present
    Charles Schwab & Co., Inc.
    San Mateo, CA
  • 10/2022 → Present
    Charles Schwab Bank, Ssb
    San Mateo, CA
Previous Registrations
  • 2018-07-13 → 2022-10-11
    Fidelity Personal And Workplace Advisors
    Boston, MA
  • 2013-06-13 → 2018-07-13
    Strategic Advisers Llc
    Coral Gables, FL
    Westlake, TX
    Los Angeles, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-06-10
S63 Uniform Securities Agent State Law Examination 2012-08-24
  • S66 Uniform Combined State Law Examination
    2013-06-10
  • S63 Uniform Securities Agent State Law Examination
    2012-08-24
Other Names
  • Howard Mak

View on SEC IAPD

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