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Michael James Theis

Charles Schwab & Co., Inc.

Phoenix, AZ

St Louis, MO

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Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
AZ RA APPROVED 2023-05-25
CA RA APPROVED 2014-03-03
  • AZ RA
    APPROVED
    Since 2023-05-25
  • CA RA
    APPROVED
    Since 2014-03-03

Branch Locations

Phoenix, AZ • United States

500 Maryville University Drive, St Louis, MO 63141 • 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. Phoenix AZ 12/1995 Present
Other Businesses

1) Personal Business (No name) | Investment Related:No|Retail|Owner|12/21/2021|Less than 20|0|Selling merchandise online using POD (Print on demand) services to sell. No financial services or investment involved in this. More of a hobby at this time.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-08-03
S63 Uniform Securities Agent State Law Examination 1995-01-27
  • S66 Uniform Combined State Law Examination
    2006-08-03
  • S63 Uniform Securities Agent State Law Examination
    1995-01-27

View on SEC IAPD

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