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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
IL RA APPROVED 2025-09-11
  • IL RA
    APPROVED
    Since 2025-09-11

Branch Locations

2423 E Lincoln Dr, Phoenix, AZ 85016-1215 • United States

Chicago, IL • 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. Chicago IL 09/2025 Present
Charles Schwab Bank, Ssb Chicago IL 09/2025 Present
Ulta Bloomingdale IL 10/2016 03/2017
Denny's Carol Stream IL 08/2017 09/2017
The Road Inc. Carol Stream IL 09/2017 10/2017
Noodles And Company Glen Ellyn IL 03/2015 11/2017
Chili'S Bar & Grill Hoffman Estates IL 04/2018 06/2018
Jpmorgan Chase Bank, N.A. Hoffman Estates IL 10/2017 07/2019
Jpmorgan Chase Bank, N.A. Palatine IL 07/2019 01/2021
J.P. Morgan Securities Llc Palatine IL 01/2021 07/2021
J.P. Morgan Securities Llc Wheaton IL 07/2021 03/2022
Fidelity Investments Schaumburg IL 03/2022 10/2022
Unemployed Winfield IL 11/2022 02/2023
Fifth Third Bank St. Charles IL 03/2023 08/2025
Fifth Third Securities St. Charles IL 04/2023 08/2025
Charles Schwab Premier Bank Chicago IL 09/2025 Present
  • 09/2025 → Present
    Chicago, IL
  • 09/2025 → Present
    Charles Schwab Bank, Ssb
    Chicago, IL
  • 10/2016 → 03/2017
    Ulta
    Bloomingdale, IL
  • 08/2017 → 09/2017
    Denny's
    Carol Stream, IL
  • 09/2017 → 10/2017
    The Road Inc.
    Carol Stream, IL
  • 03/2015 → 11/2017
    Noodles And Company
    Glen Ellyn, IL
  • 04/2018 → 06/2018
    Chili'S Bar & Grill
    Hoffman Estates, IL
  • 10/2017 → 07/2019
    Jpmorgan Chase Bank, N.A.
    Hoffman Estates, IL
  • 07/2019 → 01/2021
    Jpmorgan Chase Bank, N.A.
    Palatine, IL
  • 01/2021 → 07/2021
    J.P. Morgan Securities Llc
    Palatine, IL
  • 07/2021 → 03/2022
    J.P. Morgan Securities Llc
    Wheaton, IL
  • 03/2022 → 10/2022
    Fidelity Investments
    Schaumburg, IL
  • 11/2022 → 02/2023
    Unemployed
    Winfield, IL
  • 03/2023 → 08/2025
    Fifth Third Bank
    St. Charles, IL
  • 04/2023 → 08/2025
    Fifth Third Securities
    St. Charles, IL
  • 09/2025 → Present
    Charles Schwab Premier Bank
    Chicago, IL
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2023-06-14
S63 Uniform Securities Agent State Law Examination 2020-11-30
  • S65 Uniform Investment Adviser Law Examination
    2023-06-14
  • S63 Uniform Securities Agent State Law Examination
    2020-11-30
Other Names
  • Alicia Noriega
  • Alicia Lynn Noriega

View on SEC IAPD

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