Elaine Michelle Giese

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

Authority	Category	Status	Date
AZ	RA	APPROVED	2024-01-23

AZ RA
APPROVED

Since 2024-01-23

Branch Locations

2423 E Lincoln Dr, Phoenix, AZ 85016-1215 • 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 Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Wells Fargo Advisors, Llc	Surprise	AZ	04/2016	11/2016
Wells Fargo Clearing Services, Llc	Surprise	AZ	11/2016	06/2017
Charles Schwab & Co., Inc.	Phoenix	AZ	06/2017	Present
Charles Schwab Bank Ssb	Phoenix	AZ	01/2023	Present

04/2016 → 11/2016

Wells Fargo Advisors, Llc

Surprise, AZ
11/2016 → 06/2017

Wells Fargo Clearing Services, Llc

Surprise, AZ
06/2017 → Present

Charles Schwab & Co., Inc.

Phoenix, AZ
01/2023 → Present

Charles Schwab Bank Ssb

Phoenix, AZ

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2024-01-22
S63	Uniform Securities Agent State Law Examination	2015-05-15

S66 Uniform Combined State Law Examination

2024-01-22
S63 Uniform Securities Agent State Law Examination

2015-05-15

Other Names

Elaine Michelle Giese
Elaine Michelle Ruiz
Elaine M Giese

View on SEC IAPD

Employer firm

Current Employers

Charles Schwab & Co., Inc.

Disclosures

Employment History

Exams

Other Names

Nearby Firms

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