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Dena Lee Petersen

Charles Schwab & Co., Inc.

Tampa, FL

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Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2021-08-10
  • FL RA
    APPROVED
    Since 2021-08-10

Branch Locations

7002 Gunn Highway Suite 105, Tampa, FL 33625 • 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
American Trust & Savings Bank Dubuque IA 08/2013 07/2018
Charles Schwab & Co., Inc. Tampa FL 07/2018 Present
Previous Registrations
  • 2014-01-21 → 2014-12-05
    Cetera Investment Advisers Llc
    Dubuque, IA
  • 2013-09-11 → 2014-01-30
    Cetera Investment Services Llc
    Dubuque, IA
  • 2012-01-18 → 2013-09-05
    Lpl Financial Llc
    Galena, IL
    Fort Mill, SC
    Galena, IL
    Galena, IL
  • 2010-03-15 → 2011-06-15
    Global Portfolio Strategies, Inc.
    Dubuque, IA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-05-12
S65 Uniform Investment Adviser Law Examination 2010-03-11
S63 Uniform Securities Agent State Law Examination 2005-04-14
  • S66 Uniform Combined State Law Examination
    2021-05-12
  • S65 Uniform Investment Adviser Law Examination
    2010-03-11
  • S63 Uniform Securities Agent State Law Examination
    2005-04-14
Other Names
  • Dena Lee Beem
  • Dena Lee Peterson

View on SEC IAPD

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