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Laura Frances Hicks

Charles Schwab & Co., Inc.

Pittsford, NY

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Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-04-22
  • NY RA
    APPROVED
    Since 2021-04-22

Branch Locations

1250 Pittsford Victor Rd - Bldg 200 Suite 190, Pittsford, NY 14534-9500 • 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. Pittsford NY 04/2005 Present
Charles Schwab Bank Pittsford NY 06/2005 Present
Other Businesses

Clifton Springs Area YMCA|Investment Related:No|5 Crane Street;Clifton Springs ;NY;14432;USA|Nonprofit Charitable Organizations|Board Member|2025-01-27|HoursPerMonth:Less than 20|HoursSpentduringSecurityTrading:0|discuss and further promote programs that will improve the quality of life for families in our community

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-12-09
S63 Uniform Securities Agent State Law Examination 2007-08-24
  • S65 Uniform Investment Adviser Law Examination
    2016-12-09
  • S63 Uniform Securities Agent State Law Examination
    2007-08-24
Other Names
  • Laura Frances Morphy
  • Laura Hicks
  • Laura F Hicks

View on SEC IAPD

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Matthew A Kilmer
Matthew M Matteson
Jason R Alexander
Angelo J Ponticello
GARY M FITCH
Jessica Royston
JACQUELINE M SINCLAIR-PARKER

Other Offices

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · PITTSFORD, NY
ARMBRUSTER CAPITAL MANAGEMENT, INC. · PITTSFORD, NY
KICKSTAND WEALTH ADVISORS · PITTSFORD, NY
MARK ANDREW PAGANELLI · PITTSFORD, NY
MORGAN STANLEY · Pittsford, NY
COMMONWEALTH FINANCIAL NETWORK · Pittsford, NY
COMMONWEALTH FINANCIAL NETWORK · PITTSFORD, NY
OSAIC WEALTH, INC. · Pittsford, NY

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