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Vivian La Bang

Charles Schwab & Co., Inc.

Westlake, TX

Carrollton, TX

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Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2022-06-28
  • TX RA
    APPROVED
    Since 2022-06-28

Branch Locations

3000 Schwab Way, Westlake, TX 76262 • United States

Carrollton, TX • 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
E*Trade Securities Llc Dallas TX 01/2018 03/2020
Scottrade Inc. Plano TX 12/2015 12/2017
E*Trade Capital Management Llc Dallas TX 04/2019 03/2020
Capital Advisors, Inc Tulsa OK 03/2020 04/2022
Td Ameritrade Plano TX 09/2017 12/2017
Charles Schwab & Co., Inc. Westlake TX 05/2022 Present
  • 01/2018 → 03/2020
    E*Trade Securities Llc
    Dallas, TX
  • 12/2015 → 12/2017
    Scottrade Inc.
    Plano, TX
  • 04/2019 → 03/2020
    E*Trade Capital Management Llc
    Dallas, TX
  • 03/2020 → 04/2022
    Capital Advisors, Inc
    Tulsa, OK
  • 09/2017 → 12/2017
    Td Ameritrade
    Plano, TX
  • 05/2022 → Present
    Charles Schwab & Co., Inc.
    Westlake, TX
Previous Registrations
  • 2020-06-10 → 2022-04-08
    Capital Advisors, Inc.
    Tulsa, OK
    Frisco, TX
  • 2019-05-07 → 2020-04-01
    Harrisdirect Llc
    Arlington, VA
    Dallas, TX
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-05-06
S63 Uniform Securities Agent State Law Examination 2018-05-21
  • S66 Uniform Combined State Law Examination
    2019-05-06
  • S63 Uniform Securities Agent State Law Examination
    2018-05-21
Other Names
  • Vivian L Bang

View on SEC IAPD

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STRATEGIC ADVISERS LLC · WESTLAKE, TX
STRATEGIC ADVISERS LLC · WESTLAKE, TX
FIDELITY INSTITUTIONAL WEALTH ADVISER LLC · WESTLAKE, TX
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CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Trophy Club, TX
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