Nicholas Anthony Rainone

Current Employers

Charles Schwab & Co., Inc.

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2025-07-10

TX RA
APPROVED

Since 2025-07-10

Branch Locations

3000 Schwab Way, Westlake, TX 76262 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy Yes
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Charles Schwab & Co., Inc.	Westlake	TX	07/2018	Present
Barnes And Noble Booksellers	Hurst	TX	01/2014	07/2018

07/2018 → Present

Charles Schwab & Co., Inc.

Westlake, TX
01/2014 → 07/2018

Barnes And Noble Booksellers

Hurst, TX

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2025-07-09
S63	Uniform Securities Agent State Law Examination	2019-04-01

S66 Uniform Combined State Law Examination

2025-07-09
S63 Uniform Securities Agent State Law Examination

2019-04-01

View on SEC IAPD

Current Employers

Charles Schwab & Co., Inc.

Disclosures

Employment History

Exams

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