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Michael Alain Caplice

Charles Schwab & Co., Inc.

Phoenix, AZ

Scottsdale, AZ

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Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
AZ RA APPROVED 2023-06-01
TX RA APPROVED 2020-01-04
CA RA APPROVED 2018-03-13
  • AZ RA
    APPROVED
    Since 2023-06-01
  • TX RA
    APPROVED
    Since 2020-01-04
  • CA RA
    APPROVED
    Since 2018-03-13

Branch Locations

6350 N. 24Th Street, Phoenix, AZ 85016 • United States

20301 North Hayden Road Suite E115, Scottsdale, AZ 85255-5454 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Scottsdale AZ 03/2015 01/2018
Bank Of America, N.A. Scottsdale AZ 09/2015 02/2018
Charles Schwab & Co., Inc. Phoenix AZ 03/2018 Present
Charles Schwab Bank, Ssb Phoenix AZ 03/2018 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-07-10
  • S66 Uniform Combined State Law Examination
    2015-07-10
Other Names
  • Michael Caplice

View on SEC IAPD

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