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425 Market Street 17Th Floor, San Francisco, CA 94105 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OH | RA | APPROVED | 2024-11-18 |
Branch Locations
4150 Kinross Lakes Pkwy, Richfield, OH 44286 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Charles Schwab & Co., Inc. | Lone Tree | CO | 02/2006 | Present |
| Self Employed | Castle Rock | CO | 01/2007 | Present |
| Honu Company | Golden | CO | 02/2013 | Present |
| Optionsxpress, Inc. | Lone Tree | CO | 11/2016 | 10/2017 |
(1) HONU COMPANY, GOLDEN, COLORADO, NOT INVESTMENT RELATED, 02/01/2013, KAYAK/CANOE INSTRUCTOR, LESS THAN 20 HOURS PER MONTH, 0 HOURS DURING SECURITIES TRADING HOURS; (2) SELF EMPLOYED, CASTLE ROCK, COLORADO, NOT INVESTMENT RELATED, 01/01/2007, AUTHOR, WRITE BOOKS ABOUT WHITEWATER SAFETY, VARIOUS HOURS PER MONTH, 0 HOURS DURING SECURITIES TRADING HOURS.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-07-07 |
| S63 | Uniform Securities Agent State Law Examination | 1995-02-03 |
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