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Daniel Francis Cosgrove

Charles Schwab & Co., Inc.

Plymouth, MA

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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 2023-04-17
  • CA RA
    APPROVED
    Since 2023-04-17

Branch Locations

11 Commerce Way Suite A505, Plymouth, MA 02360 • 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
Moors & Cabot,Inc Brockton MA 02/2007 04/2023
Charles Schwab & Co., Inc. Plymouth MA 04/2023 Present
Previous Registrations
Other Businesses

RIVERBANK - tax prep. Treasurer - Futures Collegiate Baseball League. $1200 comp/year.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-01-22
S63 Uniform Securities Agent State Law Examination 1994-02-04
  • S65 Uniform Investment Adviser Law Examination
    1999-01-22
  • S63 Uniform Securities Agent State Law Examination
    1994-02-04
Other Names
  • Daniel Francis Cosgrove
  • Dan Cosgrove
  • Daniel Cosgrove

View on SEC IAPD

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SHP WEALTH MANAGEMENT, LLC · PLYMOUTH, MA
EDWARD JONES · PLYMOUTH, MA
INTEGRATED WEALTH CONCEPTS LLC · PLYMOUTH, MA
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · Plymouth, MA
CONDON WEALTH MANAGEMENT, INC. · PLYMOUTH, MA
AMERIPRISE FINANCIAL SERVICES, LLC · Plymouth, MA
LPL FINANCIAL LLC · PLYMOUTH, MA
FLAGSHIP HARBOR ADVISORS, LLC · Plymouth, MA

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