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Scot Nelson Wade

Charles Schwab & Co., Inc.

New York City, NY

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Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2025-04-25
  • NY RA
    APPROVED
    Since 2025-04-25

Branch Locations

1300 Avenue Of The Americas, New York City, NY 10019 • 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. New York NY 07/1992 Present
Schwab Private Client Invest Advisor Phoenix AZ 04/2016 11/2017
Charles Schwab Bank, Ssb New York NY 11/2017 Present
  • 07/1992 → Present
    Charles Schwab & Co., Inc.
    New York, NY
  • 04/2016 → 11/2017
    Schwab Private Client Invest Advisor
    Phoenix, AZ
  • 11/2017 → Present
    Charles Schwab Bank, Ssb
    New York, NY
Previous Registrations
  • 2022-09-01 → 2022-10-14
    Td Ameritrade, Inc.
    Potomac, MD
    Potomac, MD
    Omaha, NE
    Washington, DC
    Bethesda, MD
    Washington, DC
    Omaha, NE
  • 2016-04-18 → 2017-12-15
    Schwab Wealth Advisory, Inc.
    Phoenix, AZ
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-11-26
S63 Uniform Securities Agent State Law Examination 1994-05-18
  • S65 Uniform Investment Adviser Law Examination
    1996-11-26
  • S63 Uniform Securities Agent State Law Examination
    1994-05-18
Other Names
  • Scot N Wade

View on SEC IAPD

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