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Matthew Joel Smith

Charles Schwab & Co., Inc.

Westlake, 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 2017-12-01
  • TX RA
    APPROVED
    Since 2017-12-01

Branch Locations

3000 Schwab Way, Westlake, TX 76262 • 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
Fidelity Brokerage Services Llc Westlake TX 04/2015 07/2017
Charles Schwab & Co., Inc Westlake TX 10/2017 Present
  • 04/2015 → 07/2017
    Fidelity Brokerage Services Llc
    Westlake, TX
  • 10/2017 → Present
    Charles Schwab & Co., Inc
    Westlake, TX
Previous Registrations
  • 2016-03-29 → 2017-07-21
    Strategic Advisers Llc
    Westlake, TX
  • 2008-09-18 → 2015-04-02
    Td Ameritrade, Inc.
    Westlake, TX
    Fort Worth, TX
    Fort Worth, TX
    Westlake, TX
  • 2008-09-18 → 2014-01-08
    Td Ameritrade Investment Management, Llc
    Fort Worth, TX
  • 2007-05-24 → 2008-09-02
    Strategic Advisers Llc
    Westlake, TX
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-04-23
S63 Uniform Securities Agent State Law Examination 2005-04-04
  • S66 Uniform Combined State Law Examination
    2007-04-23
  • S63 Uniform Securities Agent State Law Examination
    2005-04-04
Other Names
  • Matt Smith
  • Matt J Smith

View on SEC IAPD

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FIDELITY INSTITUTIONAL WEALTH ADVISER LLC
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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

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