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Caroline Wells

Charles Schwab & Co., Inc.

Dallas, TX

Westlake, TX

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Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2023-04-14
  • TX RA
    APPROVED
    Since 2023-04-14

Branch Locations

Dallas, 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
Charles Schwab & Co., Inc. Dallas TX 05/2021 Present
The Lockton Management, Llc Dallas TX 03/2019 05/2021
The University Of Texas Richardson TX 08/2016 12/2018
Mercer Capital Dallas TX 06/2017 08/2017
Texas Rangers Dallas TX 06/2018 09/2018
  • 05/2021 → Present
    Charles Schwab & Co., Inc.
    Dallas, TX
  • 03/2019 → 05/2021
    The Lockton Management, Llc
    Dallas, TX
  • 08/2016 → 12/2018
    The University Of Texas
    Richardson, TX
  • 06/2017 → 08/2017
    Mercer Capital
    Dallas, TX
  • 06/2018 → 09/2018
    Texas Rangers
    Dallas, TX
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-04-14
S63 Uniform Securities Agent State Law Examination 2021-11-19
  • S66 Uniform Combined State Law Examination
    2023-04-14
  • S63 Uniform Securities Agent State Law Examination
    2021-11-19
Other Names
  • Caroline Wells
  • Caroline Erin Wells

View on SEC IAPD

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