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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 2019-01-04
CA RA APPROVED 2013-01-09
  • TX RA
    APPROVED
    Since 2019-01-04
  • CA RA
    APPROVED
    Since 2013-01-09

Branch Locations

900 Chapala St. Suite 100, Santa Barbara, CA 93101 • 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. Santa Barbara CA 12/2012 Present
Charles Schwab Bank, Ssb Santa Barbara CA 12/2012 Present
Rental Property Ventura CA 12/2005 Present
  • 12/2012 → Present
    Santa Barbara, CA
  • 12/2012 → Present
    Charles Schwab Bank, Ssb
    Santa Barbara, CA
  • 12/2005 → Present
    Rental Property
    Ventura, CA
Previous Registrations
  • 2010-05-24 → 2012-12-31
    Camarillo, CA
    Carpinteria, CA
  • 1998-03-26 → 2008-06-25
    Osaic Fa, Inc.
    Ventura, CA
    San Ramon, CA
    Oxnard, CA
Other Businesses

12/01/2005-RENTAL PROPERTIES. OWNER/LANDLORD, VENTURA, CA. DUTIES INCLUDE: RENT OUT, FIX PLUMBING, MAKE SURE PROPERTY IS IN GOOD CONDITION AND RENT IS PAID ON TIME. NOT INVESTMENT RELATED. ONE HOUR PER MONTH AND NOT DURING TRADING HOURS.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-02-11
S63 Uniform Securities Agent State Law Examination 1994-01-18
  • S66 Uniform Combined State Law Examination
    2013-02-11
  • S63 Uniform Securities Agent State Law Examination
    1994-01-18
Designations
Other Names
  • Andy Walton
  • Andrew Walton

View on SEC IAPD

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