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Todd Robert Norton

Charles Schwab & Co., Inc.

Lake Tapps, WA

Westlake, TX

CRD 2333034

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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
ID RA APPROVED 2024-01-31
OR RA APPROVED 2024-01-29
WA RA APPROVED 2011-09-09
  • ID RA
    APPROVED
    Since 2024-01-31
  • OR RA
    APPROVED
    Since 2024-01-29
  • WA RA
    APPROVED
    Since 2011-09-09

Branch Locations

Lake Tapps, WA • United States

3000 Schwab Way, Westlake, TX 76262 • 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 Lake Tapps WA 08/2011 Present
Td Ameritrade, Inc. Lake Tapps WA 07/2021 06/2024
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-01-20
S63 Uniform Securities Agent State Law Examination 2001-09-12
S65 Uniform Investment Adviser Law Examination 1994-11-23
  • S66 Uniform Combined State Law Examination
    2006-01-20
  • S63 Uniform Securities Agent State Law Examination
    2001-09-12
  • S65 Uniform Investment Adviser Law Examination
    1994-11-23

View on SEC IAPD

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