Fredric Rozum

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

Current Registrations

Authority	Category	Status	Date
AZ	RA	APPROVED	2023-06-06
CA	RA	APPROVED	2022-10-07

Branch Locations

No disclosure categories reported as “Yes” on this SEC record.

Organization	City	State	From	To
Charles Schwab & Co., Inc.	Phoenix	AZ	05/2018	06/2020
Aerotek	Tempe	AZ	04/2018	05/2018
Direct Energy	Tempe	AZ	07/2015	04/2018
Chandler-Gilbert Community College	Chandler	AZ	01/2008	05/2017
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Chandler	AZ	07/2020	06/2021
Bank Of America, N.A.	Chandler	AZ	11/2020	06/2021
Robinhood Financial, Llc	Tempe	AZ	07/2021	08/2022
Robinhood Markets, Inc	Tempe	AZ	06/2022	08/2022
Charles Schwab & Co., Inc.	Phoenix	AZ	08/2022	Present
Charles Schwab Bank, Ssb	Phoenix	AZ	08/2022	Present

05/2018 → 06/2020

Charles Schwab & Co., Inc.

Phoenix, AZ
04/2018 → 05/2018

Aerotek

Tempe, AZ
07/2015 → 04/2018

Direct Energy

Tempe, AZ
01/2008 → 05/2017

Chandler-Gilbert Community College

Chandler, AZ
07/2020 → 06/2021

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Chandler, AZ
11/2020 → 06/2021

Bank Of America, N.A.

Chandler, AZ
07/2021 → 08/2022

Robinhood Financial, Llc

Tempe, AZ
06/2022 → 08/2022

Robinhood Markets, Inc

Tempe, AZ
08/2022 → Present

Charles Schwab & Co., Inc.

Phoenix, AZ
08/2022 → Present

Charles Schwab Bank, Ssb

Phoenix, AZ

Code	Exam	Date
S66	Uniform Combined State Law Examination	2020-09-24
S63	Uniform Securities Agent State Law Examination	2018-07-06

Other Firms