Best Investors Account Sign in

Alexander Mcdowell Garfield

Charles Schwab & Co., Inc.

Westlake, TX

Wakefield, MA

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

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2022-06-30
  • CA RA
    APPROVED
    Since 2022-06-30

Branch Locations

3000 Schwab Way, Westlake, TX 76262 • United States

Wakefield, MA • 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
Apfs Wealth Management, Inc. (Novem Group) Rochester NY 11/2015 06/2018
Td Ameritrade, Inc Boston MA 07/2018 07/2020
Charles River Development, A State Street Company Burlington MA 08/2020 05/2022
Charles Schwab & Co., Inc. Boston MA 06/2022 Present
  • 11/2015 → 06/2018
    Apfs Wealth Management, Inc. (Novem Group)
    Rochester, NY
  • 07/2018 → 07/2020
    Td Ameritrade, Inc
    Boston, MA
  • 08/2020 → 05/2022
    Charles River Development, A State Street Company
    Burlington, MA
  • 06/2022 → Present
    Charles Schwab & Co., Inc.
    Boston, MA
Previous Registrations
  • 2018-10-23 → 2020-07-31
    Td Ameritrade, Inc.
    Boston, MA
    Omaha, NE
  • 2016-04-14 → 2018-07-27
    Novem Group
    Rochester, NY
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2018-10-04
S65 Uniform Investment Adviser Law Examination 2016-04-14
  • S63 Uniform Securities Agent State Law Examination
    2018-10-04
  • S65 Uniform Investment Adviser Law Examination
    2016-04-14
Other Names
  • Alex Garfield
  • Alexander Mcdowell Garfield
  • Alexander M Garfield

View on SEC IAPD

Other Firms

STRATEGIC ADVISERS LLC
FIDELITY INSTITUTIONAL WEALTH ADVISER LLC
EDWARD JONES
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
LPL FINANCIAL LLC
ADVISOR RESOURCE COUNCIL
SCHWAB WEALTH ADVISORY, INC.
CHARLES SCHWAB INVESTMENT MANAGEMENT, INC

Other Investors

MATTHEW R MCMANUS
VICTOR MURDAUGH WHITE
JACOB BRANDON KINNARD
RYAN WILLEY
MICHAEL D FRANTZ
JACOB W RANKIN
EDWARD WHALEN
BRANDON JAMES GOODWIN

Other Offices

STRATEGIC ADVISERS LLC · WESTLAKE, TX
STRATEGIC ADVISERS LLC · WESTLAKE, TX
FIDELITY INSTITUTIONAL WEALTH ADVISER LLC · WESTLAKE, TX
EDWARD JONES · Westlake, TX
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Trophy Club, TX
LPL FINANCIAL LLC · TROPHY CLUB, TX
ADVISOR RESOURCE COUNCIL · Trophy Club, TX
EDWARD JONES · TROPHY CLUB, TX

More in Westlake, TX

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor