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Diego Andres Berrocal Dejo

Charles Schwab & Co., Inc.

The Woodlands, 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
IL RA APPROVED 2026-01-14
WA RA APPROVED 2026-01-12
MI RA APPROVED 2025-03-19
TX RA APPROVED 2023-01-17
CA RA APPROVED 2021-04-28
  • IL RA
    APPROVED
    Since 2026-01-14
  • WA RA
    APPROVED
    Since 2026-01-12
  • MI RA
    APPROVED
    Since 2025-03-19
  • TX RA
    APPROVED
    Since 2023-01-17
  • CA RA
    APPROVED
    Since 2021-04-28

Branch Locations

1599 Lake Robbins Drive Suite B-150, The Woodlands, TX 77380 • 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
Wells Fargo Clearing Services, Llc. Simi Valley CA 09/2019 10/2020
Wells Fargo Bank Na Simi Valley CA 10/2016 10/2020
Iqor Simi Valley CA 03/2015 09/2016
Charles Schwab & Co., Inc. The Woodlands TX 10/2020 Present
Charles Schwab Bank, Ssb The Woodlands TX 10/2020 Present
  • 09/2019 → 10/2020
    Wells Fargo Clearing Services, Llc.
    Simi Valley, CA
  • 10/2016 → 10/2020
    Wells Fargo Bank Na
    Simi Valley, CA
  • 03/2015 → 09/2016
    Iqor
    Simi Valley, CA
  • 10/2020 → Present
    Charles Schwab & Co., Inc.
    The Woodlands, TX
  • 10/2020 → Present
    Charles Schwab Bank, Ssb
    The Woodlands, TX
Other Businesses

1) ERA PICKLEBALL|Investment Related: No|295 SAWDUST RD, THE WOODLANDS, TX, 77380, USA|Sports/Physical Recreation|PICKLEBALL|12/10/2023|Less than 20 hour/month - 0 during trading hours|PICKLEBALL TOURNAMENT

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-04-28
S63 Uniform Securities Agent State Law Examination 2019-12-13
  • S66 Uniform Combined State Law Examination
    2021-04-28
  • S63 Uniform Securities Agent State Law Examination
    2019-12-13
Other Names
  • Diego Andres Berrocal
  • Diego Berrocaldejo
  • Diego Andres Berrocal Dejo
  • Diego A Berrocal Dejo

View on SEC IAPD

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Other Investors

DANIEL CORAL GOODWIN
Jeffrey Douglas Hackett
KRISTIN LEE SANDERS
JENNIFER JOYCE CHACHERE
LEISL MAJ DODSON
THOMAS JAMES HAYES
JAMES ALBERT MAHDAK
SUSAN MARIE HILL

Other Offices

PROVIDENT WEALTH ADVISORS, LLC · THE WOODLANDS, TX
AMERIPRISE FINANCIAL SERVICES, LLC · THE WOODLANDS, TX
J. W. COLE ADVISORS, INC. · THE WOODLANDS, TX
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · The Woodlands, TX
AMERIPRISE FINANCIAL SERVICES, LLC · The Woodlands, TX
ROSSBY FINANCIAL, LLC · The Woodlands, TX
STATE FARM INVESTMENT MANAGEMENT CORP. · The Woodlands, TX
ALLSTATE FINANCIAL ADVISORS, LLC · Spring, TX

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