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Stephen K Moore

Charles Schwab & Co., Inc.

Seal Beach, CA

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Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-06-28
  • CA RA
    APPROVED
    Since 2025-06-28

Branch Locations

2399 Seal Beach Blvd. Suite 101, Seal Beach, CA 90740-5630 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Newport Beach CA 11/2019 06/2025
Bank Of America, N.A. Redondo Beach CA 11/2019 06/2025
Caloptima Orange CA 06/2018 11/2019
Full Time Education/Unemployed Huntington Beach CA 08/2017 06/2018
Blue Care Network Southfield MI 08/2016 08/2017
Charles Schwab & Co., Inc. Seal Beach CA 06/2025 Present
Charles Schwab Bank, Ssb Seal Beach CA 06/2025 Present
  • 11/2019 → 06/2025
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Newport Beach, CA
  • 11/2019 → 06/2025
    Bank Of America, N.A.
    Redondo Beach, CA
  • 06/2018 → 11/2019
    Caloptima
    Orange, CA
  • 08/2017 → 06/2018
    Full Time Education/Unemployed
    Huntington Beach, CA
  • 08/2016 → 08/2017
    Blue Care Network
    Southfield, MI
  • 06/2025 → Present
    Charles Schwab & Co., Inc.
    Seal Beach, CA
  • 06/2025 → Present
    Charles Schwab Bank, Ssb
    Seal Beach, CA
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-03-18
  • S66 Uniform Combined State Law Examination
    2021-03-18
Other Names
  • Stephen Moore

View on SEC IAPD

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J.P. MORGAN SECURITIES LLC · SEAL BEACH, CA
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