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Daniel Joseph Schwartz

Charles Schwab & Co., Inc.

Menlo Park, CA

CRD 6088850

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Employer firm

Charles Schwab & Co., Inc. CRD 5393

955,800 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Selection of other advisers
  • WRAP FEE PROGRAM SPONSOR AND FINANCIAL PLANNING ADVISOR REFERRAL PROGRAM

From the firm’s Form ADV. Read the guides:

Current Employers
Charles Schwab & Co., Inc.

425 Market Street 17Th Floor, San Francisco, CA 94105 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2019-01-02
CA RA APPROVED 2014-03-21
  • TX RA
    APPROVED_RES
    Since 2019-01-02
  • CA RA
    APPROVED
    Since 2014-03-21

Branch Locations

800 El Camino Real Suite 100, Menlo Park, CA 94025-4875 • 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
Charles Schwab & Co., Inc. Menlo Park CA 06/2012 Present
Charles Schwab Bank, Ssb Menlo Park CA 05/2014 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-03-20
S63 Uniform Securities Agent State Law Examination 2012-10-06
  • S66 Uniform Combined State Law Examination
    2014-03-20
  • S63 Uniform Securities Agent State Law Examination
    2012-10-06
Other Names
  • Daniel Schwartz

View on SEC IAPD

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