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Brian Alexander Ward

Charles Schwab & Co., Inc.

Mission Viejo, CA

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Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2024-02-13
TX RA APPROVED 2022-03-21
  • CA RA
    APPROVED
    Since 2024-02-13
  • TX RA
    APPROVED
    Since 2022-03-21

Branch Locations

27201 Puerta Real Suite 100, Mission Viejo, CA 92691-8570 • 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. Mission Viejo CA 07/2020 Present
Bank Of Montreal Goodyear AZ 06/2019 08/2019
Home Depot Inc. Flagstaff AZ 03/2018 05/2020
Northern Arizona University Flagstaff AZ 08/2016 05/2020
Charles Schwab Bank Mission Viejo CA 02/2024 Present
  • 07/2020 → Present
    Charles Schwab & Co., Inc.
    Mission Viejo, CA
  • 06/2019 → 08/2019
    Bank Of Montreal
    Goodyear, AZ
  • 03/2018 → 05/2020
    Home Depot Inc.
    Flagstaff, AZ
  • 08/2016 → 05/2020
    Northern Arizona University
    Flagstaff, AZ
  • 02/2024 → Present
    Charles Schwab Bank
    Mission Viejo, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-03-21
S63 Uniform Securities Agent State Law Examination 2021-06-25
  • S66 Uniform Combined State Law Examination
    2022-03-21
  • S63 Uniform Securities Agent State Law Examination
    2021-06-25
Designations

View on SEC IAPD

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Other Offices

EDWARD JONES · MISSION VIEJO, CA
J.P. MORGAN SECURITIES LLC · MISSION VIEJO, CA
WELLS FARGO CLEARING SERVICES, LLC · MISSION VIEJO, CA
PFS INVESTMENTS INC. · MISSION VIEJO, CA
CETERA INVESTMENT ADVISERS LLC · MISSION VIEJO, CA
PFS INVESTMENTS INC. · MISSION VIEJO, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · MISSION VIEJO, CA
J.P. MORGAN SECURITIES LLC · MISSION VIEJO, CA

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