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425 Market Street 17Th Floor, San Francisco, CA 94105 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2022-10-04 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Td Ameritrade, Inc. | Westlake | TX | 11/2012 | 02/2024 |
| Charles Schwab & Co., Inc. | Westlake | TX | 10/2022 | Present |
Name of Outside Business:Dance Theatre of Arlington; Investment Related:No; Address of Outside Business:Arlington, TX; Nature of Outside Business:Non-profit group; Position:Board member; Start Date:1/1/2018; Hours per month: 0-10; Hours per month during securities trading hours: No; Description of Duties: No duties. Volunteer as able. Rental Property|Investment Related:No|11939 Watalula Rd. ;Ozark;Arkansas;72949;USA|Rental Services (Other than Real Estate)|Property Owner|2021-06-04|HoursPerMonth:Less than 20|HoursSpentduringSecurityTrading:0.000000|As property owner, I work with a paid property manager as needed to keep the house and pasture maintained and rented.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-05-22 |
| S63 | Uniform Securities Agent State Law Examination | 1993-08-27 |
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