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Nicholas F Caruso

Charles Schwab & Co., Inc.

Princeton, NJ

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Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2019-01-02
NJ RA APPROVED 2013-11-20
  • TX RA
    APPROVED_RES
    Since 2019-01-02
  • NJ RA
    APPROVED
    Since 2013-11-20

Branch Locations

132 Nassau St Floor 1, Princeton, NJ 08542-7006 • 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. Princeton NJ 07/2008 Present
Charles Schwab Bank Ssb Princeton NJ 07/2008 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-07-18
  • S66 Uniform Combined State Law Examination
    2008-07-18
Designations
Other Names
  • Nicholas F Caruso
  • Nicholas Caruso
  • Nick Caruso
  • Nicholas Francis Caruso

View on SEC IAPD

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