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Dakota Ann Penman

Charles Schwab & Co., Inc.

Lone Tree, CO

CRD 7205778

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Employer firm

Charles Schwab & Co., Inc. CRD 5393

955,800 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Selection of other advisers
  • WRAP FEE PROGRAM SPONSOR AND FINANCIAL PLANNING ADVISOR REFERRAL PROGRAM

From the firm’s Form ADV. Read the guides:

Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2020-11-19
  • CO RA
    APPROVED
    Since 2020-11-19

Branch Locations

9800 Schwab Way, Lone Tree, CO 80124 • 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. Lone Tree CO 12/2019 Present
Haylee Jeon Allstate Agency Littleton CO 09/2017 11/2019
Saddleback Design Denver CO 11/2017 02/2018
Lance Lane State Farm Maricopa AZ 07/2016 09/2017
  • 12/2019 → Present
    Charles Schwab & Co., Inc.
    Lone Tree, CO
  • 09/2017 → 11/2019
    Haylee Jeon Allstate Agency
    Littleton, CO
  • 11/2017 → 02/2018
    Saddleback Design
    Denver, CO
  • 07/2016 → 09/2017
    Lance Lane State Farm
    Maricopa, AZ
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-11-19
S63 Uniform Securities Agent State Law Examination 2020-09-15
  • S66 Uniform Combined State Law Examination
    2020-11-19
  • S63 Uniform Securities Agent State Law Examination
    2020-09-15
Other Names
  • Dakota Ann Marr
  • Dakota Penman

View on SEC IAPD

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