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Oscar Daniel Lucio

Charles Schwab & Co., Inc.

New York City, NY

Westlake, TX

CRD 6097094

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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 2022-01-26
  • TX RA
    APPROVED
    Since 2022-01-26

Branch Locations

1133 Avenue Of The Americas, New York City, NY 10036-6717 • United States

3000 Schwab Way, Westlake, TX 76262 • 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
Td Ameritrade Fort Worth TX 07/2012 12/2022
Charles Schwab And Co., Inc. Fort Worth TX 12/2022 Present
  • 07/2012 → 12/2022
    Td Ameritrade
    Fort Worth, TX
  • 12/2022 → Present
    Charles Schwab And Co., Inc.
    Fort Worth, TX
Previous Registrations
  • 2013-10-15 → 2023-09-07
    Td Ameritrade Investment Management, Llc
    Fort Worth, TX
    Southlake, TX
    Westlake, TX
  • 2013-10-15 → 2022-10-14
    Td Ameritrade, Inc.
    Westlake, TX
    Fort Worth, TX
    Westlake, TX
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-10-10
S63 Uniform Securities Agent State Law Examination 2012-08-27
  • S66 Uniform Combined State Law Examination
    2013-10-10
  • S63 Uniform Securities Agent State Law Examination
    2012-08-27
Other Names
  • Oscar Lucio

View on SEC IAPD

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CIBC PRIVATE WEALTH ADVISORS, INC. · New York, NY
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · NEW YORK, NY

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