Best Investors Account Sign in

Michael Matthew Promis

Charles Schwab & Co., Inc.

Fairfield, CT

Claim This Profile
Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2022-01-26
  • CT RA
    APPROVED
    Since 2022-01-26

Branch Locations

1248 Post Road Suite 100, Fairfield, CT 06824-6008 • 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 No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Td Ameritrade Stamford CT 08/2012 12/2022
Charles Schwab And Co., Inc. Stamford CT 12/2022 Present
Charles Schwab Bank Stamford CT 12/2022 Present
  • 08/2012 → 12/2022
    Td Ameritrade
    Stamford, CT
  • 12/2022 → Present
    Charles Schwab And Co., Inc.
    Stamford, CT
  • 12/2022 → Present
    Charles Schwab Bank
    Stamford, CT
Previous Registrations
  • 2012-09-06 → 2023-09-07
    Td Ameritrade Investment Management, Llc
    Stamford, CT
    Stamford, CT
  • 2012-09-06 → 2022-10-14
    Td Ameritrade, Inc.
    Stamford, CT
  • 2010-06-29 → 2011-12-21
    Citigroup Global Markets Inc.
    Cos Cob, CT
    Stamford, CT
    Stamford, CT
    Darien, CT
    Plainview, NY
    Tampa, FL
  • 2005-10-27 → 2010-07-13
    Ameriprise Financial Services, Llc
    Norwalk, CT
    Westport, CT
Other Businesses

1) Insurance License | Investment Related:No|287 Ronald Drive |Fairfield|Connecticut|6825|USA|Insurance|N/A|7/10/2013|Less than 20|0.000000|Keeping license active.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-10-26
  • S66 Uniform Combined State Law Examination
    2005-10-26
Designations

View on SEC IAPD

Other Firms

HERBERT J. SIMS CAPITAL MANAGEMENT, INC.
MONECO ADVISORS
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
JANNEY MONTGOMERY SCOTT LLC
EDGEWOOD CAPITAL ADVISORS, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
DAYMARK WEALTH PARTNERS, LLC
EDWARD JONES

Other Investors

SEAN MCGORDAN LALLJEE
JONATHAN DAVID JAROW
PETER JULIAN DEE
ALEJANDRO MICHAEL VITERI
Steven Mark Guillotel
PAUL JOHN DEARCE
MICHAEL BRADEN GOLEMBIESKY
David Kenneth Galuskin

Other Offices

HERBERT J. SIMS CAPITAL MANAGEMENT, INC. · FAIRFIELD, CT
MONECO ADVISORS · FAIRFIELD, CT
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Fairfield, CT
MONECO ADVISORS · FAIRFIELD, CT
JANNEY MONTGOMERY SCOTT LLC · Fairfield, CT
EDGEWOOD CAPITAL ADVISORS, LLC · SOUTHPORT, CT
AMERIPRISE FINANCIAL SERVICES, LLC · Southport, CT
DAYMARK WEALTH PARTNERS, LLC · Southport, CT

More in Fairfield, CT

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor