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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 2020-01-06
CA RA APPROVED 1999-07-29
  • TX RA
    APPROVED_RES
    Since 2020-01-06
  • CA RA
    APPROVED
    Since 1999-07-29

Branch Locations

438 East El Camino Real, Sunnyvale, CA 94087-1938 • 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. Sunnyvale CA 05/1992 Present
Charles Schwab Bank Ssb Sunnyvale CA 02/2005 Present
Other Businesses

1)Self Employed Rental Property, SF CA I own two rental properties in SF. 1) The address is 245 College Ave, SF 94112. 2) 665-667 Moultrie Ave, SF, CA 94110. I receive rental income from those properties. hours per month less than 20 (2) 2nd rental property, SF Collecting rent and manage property on as needed basis. Hours per month less than 20, (3) #rd Rental property, SF, Owner ,Collecting rent and manage property on as needed basis. Hours per month less than 20

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-07-22
S63 Uniform Securities Agent State Law Examination 1993-01-04
  • S65 Uniform Investment Adviser Law Examination
    1999-07-22
  • S63 Uniform Securities Agent State Law Examination
    1993-01-04
Other Names
  • Hsueh Lan Lee
  • Suki Lee

View on SEC IAPD

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