Caroline Maglio

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 11/2009 → 01/2020
  Fidelity Brokerage Services, Inc.
  Campbell, CA
• 03/2020 → 10/2020
  Td Ameritrade
  Cupertino, CA
• 02/2021 → 05/2021
  Empirical Wealth Management
  Seattle, WA
• 10/2020 → 02/2021
  Unemployed
  Los Gatos, CA
• 05/2021 → 06/2024
  Td Ameritrade
  Menlo Park, CA
• 01/2022 → Present
  Charles Schwab & Co., Inc.
  Menlo Park, CA
• 05/2021 → 09/2023
  Td Ameritrade Investment Management, Llc
  Menlo Park, CA
• 07/2022 → Present
  Charles Schwab Bank, Ssb
  Menlo Park, CA

Previous Registrations

• 2021-05-24 → 2023-09-07
  Td Ameritrade Investment Management, Llc
  Cupertino, CA
  Menlo Park, CA
• 2021-05-24 → 2022-10-14
  Td Ameritrade, Inc.
  Cupertino, CA
  Menlo Park, CA
  Omaha, NE
• 2021-02-22 → 2021-05-07
  Empirical Wealth Management
  Los Gatos, CA
  Seattle, WA
• 2020-03-24 → 2021-01-11
  Td Ameritrade, Inc.
  Cupertino, CA
• 2020-03-24 → 2020-12-31
  Td Ameritrade Investment Management, Llc
  Cupertino, CA
• 2018-07-13 → 2020-01-30
  Fidelity Personal And Workplace Advisors
  Boston, MA
• 2006-08-07 → 2018-07-13
  Strategic Advisers Llc
  Campbell, CA
  Campbell, CA

Exams

• S66 Uniform Combined State Law Examination
  2006-08-02
• S63 Uniform Securities Agent State Law Examination
  1993-12-01

Other Names

• Li-Ping Fan
• Caroline Maglio