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Michael Patrick Dolan

Charles Schwab & Co., Inc.

Novato, 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 2012-10-23
  • CA RA
    APPROVED
    Since 2012-10-23

Branch Locations

1400 Grant Avenue Suite 101, Novato, CA 94945 • 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 Novato CA 10/2012 Present
Csibl, Inc. Mill Valley CA 03/2013 Present
Lloyds Of London,John Hancock, Principal Mill Valley CA 02/2015 Present
  • 10/2012 → Present
    Charles Schwab & Co., Inc
    Novato, CA
  • 03/2013 → Present
    Csibl, Inc.
    Mill Valley, CA
  • 02/2015 → Present
    Lloyds Of London,John Hancock, Principal
    Mill Valley, CA
Previous Registrations
  • 2010-02-02 → 2012-10-15
    Independent Financial Group, Llc
    Mill Valley, CA
    San Diego, CA
    San Diego, CA
  • 2006-04-04 → 2010-01-05
    Afa Advisor Services Llc
    Calabasas, CA
    Mill Valley, CA
Other Businesses

Lloyds of London,John Hancock, Principal|Investment Related:No|379 Dolan Ave;Mill Valley;CA;94941;USA|Insurance|Receipt of residuals|2013-02-15|HoursPerMonth:Less than 20|HoursSpentduringSecurityTrading:0|Receive residuals from policies sold long ago, pre-schwab

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-08-26
S63 Uniform Securities Agent State Law Examination 2003-01-17
  • S65 Uniform Investment Adviser Law Examination
    2005-08-26
  • S63 Uniform Securities Agent State Law Examination
    2003-01-17
Other Names
  • Mike Dolan
  • Michael Patrick Dolan

View on SEC IAPD

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J.P. MORGAN SECURITIES LLC
NEWEDGE ADVISORS

Other Investors

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Courtenay A. Wise
Russell Wayne Ketron
KARIN DE MARIA ALVARADO
Chadwick Thomas Clarke
AARON MICHAEL COOPERBAND
GEOFFREY CARSON ADEN
SHAWN CAMPAS

Other Offices

KETRON FINANCIAL LLC · NOVATO, CA
OSAIC WEALTH, INC. · NOVATO, CA
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · Novato, CA
WELLS FARGO CLEARING SERVICES, LLC · NOVATO, CA
LPL FINANCIAL LLC · NOVATO, CA
EDWARD JONES · NOVATO, CA
J.P. MORGAN SECURITIES LLC · Novato, CA
NEWEDGE ADVISORS · Novato, CA

More in Novato, CA

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