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Seth Tarin Gray

Charles Schwab & Co., Inc.

Woodland Hills, CA

CRD 2549463

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Employer firm

Charles Schwab & Co., Inc. CRD 5393

955,800 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Selection of other advisers
  • WRAP FEE PROGRAM SPONSOR AND FINANCIAL PLANNING ADVISOR REFERRAL PROGRAM

From the firm’s Form ADV. Read the guides:

Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2019-01-02
CA RA APPROVED 2009-07-22
  • TX RA
    APPROVED_RES
    Since 2019-01-02
  • CA RA
    APPROVED
    Since 2009-07-22

Branch Locations

6250 Topanga Canyon Blvd Suite 1545, Woodland Hills, CA 91367 • 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. Woodland Hills CA 07/2009 Present
Charles Schwab Bank Woodland Hills CA 07/2009 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-03-19
S63 Uniform Securities Agent State Law Examination 1994-12-16
  • S65 Uniform Investment Adviser Law Examination
    1998-03-19
  • S63 Uniform Securities Agent State Law Examination
    1994-12-16

View on SEC IAPD

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Nearby Investors

MICHAEL WILLIAM JOHNS
STEWART E SCHRADER
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MERCER GLOBAL ADVISORS INC. · Woodland Hills, CA
INDEPENDENT FINANCIAL GROUP, LLC · Woodland Hills, CA
VENTURA ADVISORS · WOODLAND HILLS, CA

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