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David M Carolan

Charles Schwab & Co., Inc.

Chestnut Hill, 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
TX RA APPROVED_RES 2019-01-07
  • TX RA
    APPROVED_RES
    Since 2019-01-07

Branch Locations

1262 Boylston Street Floor 01, Chestnut Hill, MA 02467-2104 • United States

Disclosures

2 disclosure categories 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.

  • Regulatory action No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Charles Schwab & Co., Inc. Chestnut Hill MA 02/2003 Present
Charles Schwab Bank, Ssb Chestnut Hill MA 02/2005 Present
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1995-09-29
  • S63 Uniform Securities Agent State Law Examination
    1995-09-29
Other Names
  • David Michael Carolan

View on SEC IAPD

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Other Offices

SCHWAB WEALTH ADVISORY, INC. · Chestnut Hill, MA
ESPLANADE CAPITAL LLC · CHESTNUT HILL, MA
CITIZENS SECURITIES, INC. · CHESTNUT HILL, MA
COMMONWEALTH FINANCIAL NETWORK · CHESTNUT HILL, MA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · CHESTNUT HILL, MA
STRATEGIC ADVISERS LLC · CHESTNUT HILL, MA
TRIBECA INVESTMENT INC. · CHESTNUT HILL, MA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Newton, MA

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