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

Branch Locations

21370 Hawthorne Blvd, Torrance, CA 90503 • 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
Fidelity Brokerage Services Llc Santa Monica CA 05/2015 11/2018
Fidelity Personal And Workplace Advisors Boston MA 07/2018 11/2018
Bancwest Investment Services, Inc. Pico Rivera CA 04/2019 01/2020
Unemployed Pico Rivera CA 11/2018 04/2019
Bank Of The West Pico Rivera CA 04/2019 01/2020
Td Ameritrade Irvine CA 01/2020 06/2024
Charles Schwab & Co., Inc. Torrance CA 01/2022 Present
Charles Schwab Bank, Ssb Torrance CA 01/2022 Present
  • 05/2015 → 11/2018
    Fidelity Brokerage Services Llc
    Santa Monica, CA
  • 07/2018 → 11/2018
    Fidelity Personal And Workplace Advisors
    Boston, MA
  • 04/2019 → 01/2020
    Bancwest Investment Services, Inc.
    Pico Rivera, CA
  • 11/2018 → 04/2019
    Unemployed
    Pico Rivera, CA
  • 04/2019 → 01/2020
    Bank Of The West
    Pico Rivera, CA
  • 01/2020 → 06/2024
    Td Ameritrade
    Irvine, CA
  • 01/2022 → Present
    Torrance, CA
  • 01/2022 → Present
    Charles Schwab Bank, Ssb
    Torrance, CA
Previous Registrations
  • 2020-01-22 → 2023-09-07
    Td Ameritrade Investment Management, Llc
    Torrance, CA
    Torrance, CA
  • 2020-01-22 → 2022-10-14
    Td Ameritrade, Inc.
    Torrance, CA
    Omaha, NE
  • 2019-04-16 → 2020-01-10
    Bancwest Investment Services, Inc.
    Pico Rivera, CA
    Lakewood, CA
    Downey, CA
    Long Beach, CA
  • 2018-07-13 → 2018-12-18
    Fidelity Personal And Workplace Advisors
    Boston, MA
  • 2016-11-17 → 2018-07-13
    Santa Monica, CA
    Brea, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-03-28
S63 Uniform Securities Agent State Law Examination 2015-10-05
  • S66 Uniform Combined State Law Examination
    2016-03-28
  • S63 Uniform Securities Agent State Law Examination
    2015-10-05
Designations

View on SEC IAPD

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