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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 2014-09-11
  • CA RA
    APPROVED
    Since 2014-09-11

Branch Locations

1840 Century Park East Suite 100, Los Angeles, CA 90067 • United States

355 S. Grand Ave Suite 110, Los Angeles, CA 90071-3158 • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Charles Schwab & Co.,Inc Los Angeles CA 05/2012 Present
Charles Schwab Bank Ssb Los Angeles CA 07/2014 Present
  • 05/2012 → Present
    Charles Schwab & Co.,Inc
    Los Angeles, CA
  • 07/2014 → Present
    Charles Schwab Bank Ssb
    Los Angeles, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-09-11
S63 Uniform Securities Agent State Law Examination 2012-08-10
  • S66 Uniform Combined State Law Examination
    2014-09-11
  • S63 Uniform Securities Agent State Law Examination
    2012-08-10

View on SEC IAPD

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