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Stephanie Erin Thompson

Charles Schwab & Co., Inc.

San Diego, CA

New York City, NY

CRD 2309821

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Employer firm

Charles Schwab & Co., Inc. CRD 5393

955,800 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Selection of other advisers
  • WRAP FEE PROGRAM SPONSOR AND FINANCIAL PLANNING ADVISOR REFERRAL PROGRAM

From the firm’s Form ADV. Read the guides:

Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2020-05-19
  • CA RA
    APPROVED
    Since 2020-05-19

Branch Locations

San Diego, CA • United States

1133 Avenue Of The Americas, New York City, NY 10036-6717 • 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. San Diego CA 01/1997 Present
Charles Schwab Bank,Ssb San Diego CA 07/2019 Present
Charles Schwab Premier Bank San Diego CA 03/2020 Present
Charles Schwab Trust Bank San Diego CA 03/2020 Present
  • 01/1997 → Present
    Charles Schwab & Co., Inc.
    San Diego, CA
  • 07/2019 → Present
    Charles Schwab Bank,Ssb
    San Diego, CA
  • 03/2020 → Present
    Charles Schwab Premier Bank
    San Diego, CA
  • 03/2020 → Present
    Charles Schwab Trust Bank
    San Diego, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-11-19
S63 Uniform Securities Agent State Law Examination 1994-10-21
  • S66 Uniform Combined State Law Examination
    2004-11-19
  • S63 Uniform Securities Agent State Law Examination
    1994-10-21

View on SEC IAPD

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