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Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2022-03-14
  • NJ RA
    APPROVED
    Since 2022-03-14

Branch Locations

Jersey City, NJ • 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
Td Ameritrade Jersey City NJ 07/2013 06/2024
Td Ameritrade Investment Management, Llc Jersey City NJ 11/2013 09/2023
Charles Schwab & Co., Inc. Jersey City NJ 01/2022 Present
  • 07/2013 → 06/2024
    Td Ameritrade
    Jersey City, NJ
  • 11/2013 → 09/2023
    Td Ameritrade Investment Management, Llc
    Jersey City, NJ
  • 01/2022 → Present
    Jersey City, NJ
Previous Registrations
  • 2013-11-06 → 2023-09-07
    Td Ameritrade Investment Management, Llc
    New York, NY
    New York, NY
    Jersey City, NJ
  • 2013-11-06 → 2022-10-14
    Td Ameritrade, Inc.
    New York, NY
    New York, NY
    Jersey City, NJ
    Westlake, TX
    Lone Tree, CO
    Jersey City, NJ
    Westlake, TX
    Jersey City, NJ
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-11-05
S63 Uniform Securities Agent State Law Examination 2013-05-16
  • S66 Uniform Combined State Law Examination
    2013-11-05
  • S63 Uniform Securities Agent State Law Examination
    2013-05-16

View on SEC IAPD

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