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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 2022-01-27
  • TX RA
    APPROVED
    Since 2022-01-27

Branch Locations

Springtown, TX • 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 04/2015 12/2022
Charles Schwab And Co., Inc. Springtown TX 12/2022 Present
Charles Schwab Bank, Ssb Springtown TX 11/2023 Present
  • 04/2015 → 12/2022
    Td Ameritrade
    Fort Worth, TX
  • 12/2022 → Present
    Charles Schwab And Co., Inc.
    Springtown, TX
  • 11/2023 → Present
    Charles Schwab Bank, Ssb
    Springtown, TX
Previous Registrations
  • 2018-10-25 → 2023-09-07
    Td Ameritrade Investment Management, Llc
    Southlake, TX
    Westlake, TX
  • 2015-12-16 → 2022-10-14
    Td Ameritrade, Inc.
    Omaha, NE
    Westlake, TX
    Fort Worth, TX
    Westlake, TX
    Westlake, TX
    Westlake, TX
    Springtown, TX
    Westlake, TX
  • 2015-12-16 → 2017-10-19
    Td Ameritrade Investment Management, Llc
    Fort Worth, TX
Other Businesses

MY SPOUSE AND I HAVE A COMPANY THAT IS INACTIVE. THE COMPANY NAME IS HEALTHE TERRA, THE ORIGINAL IDEA WAS TO GROW AND SELL ORGANIC VEGETABLES. THE BUSINESS IS NOT INVESTMENT RELATED. THE ADDRESS IS 220 W WOODY CREEK CT. SPRINGTOWN TX 76082. MY NAME IS LISTED AS A CO-OWNER, I SPEND 0 HOURS A WEEK ON THIS BUISNESS.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-12-15
S63 Uniform Securities Agent State Law Examination 2015-06-26
  • S66 Uniform Combined State Law Examination
    2015-12-15
  • S63 Uniform Securities Agent State Law Examination
    2015-06-26

View on SEC IAPD

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