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Lori Ann Sturgis

Charles Schwab & Co., Inc.

Austin, TX

CRD 6549386

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Employer firm

Charles Schwab & Co., Inc. CRD 5393

955,800 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Selection of other advisers
  • WRAP FEE PROGRAM SPONSOR AND FINANCIAL PLANNING ADVISOR REFERRAL PROGRAM

From the firm’s Form ADV. Read the guides:

Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2021-09-21
  • TX RA
    APPROVED
    Since 2021-09-21

Branch Locations

11800 Schwab Way, Austin, TX 78758 • 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. Austin TX 08/2015 05/2018
Cuso Financial Services, L.P. Cedar Park TX 05/2018 08/2021
Charles Schwab & Co., Inc. Austin TX 08/2021 Present
Charles Schwab Bank, Ssb Austin TX 08/2021 Present
Previous Registrations
  • 2018-05-07 → 2021-09-07
    Cuso Financial Services, L.P.
    Austin, TX
    San Diego, CA
    Austin, TX
    Round Rock, TX
    Austin, TX
    Cedar Park, TX
    Austin, TX
    Round Rock, TX
  • 2016-09-08 → 2018-05-23
    Charles Schwab & Co., Inc.
    Austin, TX
    Austin, TX
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-09-08
  • S66 Uniform Combined State Law Examination
    2016-09-08
Other Names
  • Lori Sturgis

View on SEC IAPD

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