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425 Market Street 17Th Floor, San Francisco, CA 94105 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2021-04-20 |
| CA | RA | APPROVED | 2017-08-09 |
Branch Locations
16 Corporate Plaza Dr, Newport Beach, CA 92660 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| American Funds | Irvine | CA | 06/2014 | 01/2017 |
| Charles Schwab & Co., Inc. | Newport Beach | CA | 08/2017 | Present |
| Charles Schwab Bank, Ssb | Newport Beach | CA | 08/2017 | Present |
| Unemployed | Newport Beach | CA | 02/2017 | 07/2017 |
Newport Mesa High School Sailing Foundation|Investment Related:No|Sports/Physical Recreation|Corona Del Mar High School Sailing Parent Advisory Board Member|2023-10-09|Hours Per Month:Less than 20|Hours Spent during Security Trading:0|I help with logistics of sailing team trips, booking groups of hotel rooms for the team. I am also co-chairing the annual team banquet overseeing the event.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2014-07-10 |
| S65 | Uniform Investment Adviser Law Examination | 1998-11-03 |
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