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425 Market Street 17Th Floor, San Francisco, CA 94105 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2022-01-26 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Td Ameritrade, Inc. | Westlake | TX | 11/2006 | 06/2024 |
| Td Ameritrade Investment Management, Llc | Westlake | TX | 01/2007 | 06/2024 |
| Charles Schwab & Co., Inc. | Westlake | TX | 01/2022 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-12-29 |
| S63 | Uniform Securities Agent State Law Examination | 1994-06-24 |
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