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Todd M Caldwell

Charles Schwab & Co., Inc.

Lake Oswego, OR

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Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2019-01-02
OR RA APPROVED 2013-11-27
  • TX RA
    APPROVED
    Since 2019-01-02
  • OR RA
    APPROVED
    Since 2013-11-27

Branch Locations

4055 Mercantile Dr Suite 175, Lake Oswego, OR 97035 • 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. Portland OR 03/1999 Present
Charles Schwab Bank Portland OR 02/2005 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-09-04
S63 Uniform Securities Agent State Law Examination 1993-06-28
  • S65 Uniform Investment Adviser Law Examination
    1998-09-04
  • S63 Uniform Securities Agent State Law Examination
    1993-06-28
Designations
Other Names
  • Todd Miles Caldwell

View on SEC IAPD

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