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425 Market Street 17Th Floor, San Francisco, CA 94105 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2021-09-06 |
Branch Locations
200 Fourth Street Suite 100, Santa Rosa, CA 95401-6213 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Sofi Lending Corp | Healdsburg | CA | 01/2015 | 08/2017 |
| Charles Schwab & Co., Inc. | Santa Rosa | CA | 08/2021 | Present |
| Charles Schwab Bank, Ssb | Santa Rosa | CA | 08/2021 | Present |
| Exchange Bank | Santa Rosa | CA | 01/2018 | 07/2021 |
| Unemployed | Santa Rosa | CA | 08/2017 | 01/2018 |
1) Joseph E & Virginia M Williams | Investment Related: No | 3004 Aurora Ct; Santa Rosa; CA; 95405; USA | Real Estate (Non-Agent/Broker) | Owner | Start date: 2016-06-01 | Hours Per Month: Less than 20 | Hours Spent during Security Trading: 0 | Rental Property. 2) Swimply | Investment Related: No | Rental Services (Other than Real Estate) | Owner/Host | Start date: 2022-08-06 | Hours Per Month: Less than 20 | Hours Spent during Security Trading: 0 | Hosting my property for small gathers and/or events.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-08-11 |
| S63 | Uniform Securities Agent State Law Examination | 2015-12-21 |
| S65 | Uniform Investment Adviser Law Examination | 2015-10-05 |
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