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Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2012-11-30
  • CA RA
    APPROVED
    Since 2012-11-30

Branch Locations

106 West Portal Ave, San Francisco, CA 94127-1306 • 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. San Francisco CA 11/2012 Present
Charles Schwab Bank San Francisco CA 11/2012 Present
Previous Registrations
  • 2010-11-15 → 2012-10-26
    Td Ameritrade, Inc.
    San Francisco, CA
  • 2010-11-15 → 2012-10-26
    Td Ameritrade Investment Management, Llc
    San Francisco, CA
  • 2003-12-20 → 2009-09-09
    San Francisco, CA
  • 2002-06-25 → 2002-09-30
    The Investment Center, Inc.
    San Francisco, CA
Other Businesses

REAL ESTATE/PROPERTY MANAGEMENT, SAN FRANCISCO, CALIFORNIA, NOT INVESTMENT RELATED, 05/01/1998, LANDLORD, LESS THAN 20 HOURS PER MONTH, 0 HOURS DURING SECURITIES TRADING HOURS.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-10-14
S63 Uniform Securities Agent State Law Examination 1994-05-17
  • S65 Uniform Investment Adviser Law Examination
    1997-10-14
  • S63 Uniform Securities Agent State Law Examination
    1994-05-17

View on SEC IAPD

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