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Dino Battaglia

Charles Schwab & Co., Inc.

Chicago, IL

Plymouth Meeting, PA

CRD 2325938

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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
PA RA APPROVED 2020-04-23
  • PA RA
    APPROVED
    Since 2020-04-23

Branch Locations

150 S. Wacker Drive, Chicago, IL 60606-4111 • United States

Plymouth Meeting, PA • 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
Sei Investments Company Oaks PA 03/2013 02/2019
Vanguard Malvern PA 03/2019 03/2020
Charles Schwab & Co., Inc. Radnor PA 04/2020 Present
  • 03/2013 → 02/2019
    Sei Investments Company
    Oaks, PA
  • 03/2019 → 03/2020
    Vanguard
    Malvern, PA
  • 04/2020 → Present
    Charles Schwab & Co., Inc.
    Radnor, PA
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2013-11-18
S63 Uniform Securities Agent State Law Examination 1993-11-17
  • S65 Uniform Investment Adviser Law Examination
    2013-11-18
  • S63 Uniform Securities Agent State Law Examination
    1993-11-17

View on SEC IAPD

Nearby Firms

BROWNSON, REHMUS & FOXWORTH, INC.
PFINGSTEN PARTNERS, L.L.C.
GUGGENHEIM FUNDS DISTRIBUTORS, LLC

Nearby Investors

James Michael Franch
HAROLD NELSON LEAVELL
CARLYLE KELLY MADDEN

Nearby Offices

BROWNSON, REHMUS & FOXWORTH, INC. · CHICAGO, IL
PFINGSTEN PARTNERS, L.L.C. · CHICAGO, IL
GUGGENHEIM FUNDS DISTRIBUTORS, LLC · CHICAGO, IL

More in Chicago, IL

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