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Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
IN RA APPROVED 2010-04-09
  • IN RA
    APPROVED
    Since 2010-04-09

Branch Locations

8332 Woodfield Crossing Blvd, Indianapolis, IN 46240-2482 • 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. Indianapolis IN 01/2006 Present
Finra Washington DC 07/2013 05/2025
Optionsxpress, Inc. Indianapolis IN 03/2014 10/2017
  • 01/2006 → Present
    Indianapolis, IN
  • 07/2013 → 05/2025
    Finra
    Washington, DC
  • 03/2014 → 10/2017
    Optionsxpress, Inc.
    Indianapolis, IN
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-08-10
  • S66 Uniform Combined State Law Examination
    2005-08-10

View on SEC IAPD

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