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Lateefa Farill Naqvi

Charles Schwab & Co., Inc.

Lone Tree, CO

Phoenix, AZ

CRD 7328358

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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
CO RA APPROVED 2024-12-03
  • CO RA
    APPROVED
    Since 2024-12-03

Branch Locations

9800 Schwab Way, Lone Tree, CO 80124 • United States

2423 E Lincoln Dr, Phoenix, AZ 85016-1215 • 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. Lone Tree CO 01/2021 Present
Bellco Credit Union Littleton CO 05/2019 10/2020
Groove Subaru Englewood CO 06/2018 05/2019
Warranty Solutions Lakewood CO 06/2017 06/2018
Groove Subaru Englewood CO 03/2014 06/2017
  • 01/2021 → Present
    Charles Schwab & Co., Inc.
    Lone Tree, CO
  • 05/2019 → 10/2020
    Bellco Credit Union
    Littleton, CO
  • 06/2018 → 05/2019
    Groove Subaru
    Englewood, CO
  • 06/2017 → 06/2018
    Warranty Solutions
    Lakewood, CO
  • 03/2014 → 06/2017
    Groove Subaru
    Englewood, CO
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-12-02
S63 Uniform Securities Agent State Law Examination 2021-11-04
  • S66 Uniform Combined State Law Examination
    2024-12-02
  • S63 Uniform Securities Agent State Law Examination
    2021-11-04
Other Names
  • Farill Naqvi
  • Lateefa Farill Naqviq

View on SEC IAPD

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