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Steven Sargent Higgins

Charles Schwab & Co., Inc.

Boulder, CO

Lone Tree, CO

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Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2014-01-07
FL RA APPROVED 2007-05-22
  • CO RA
    APPROVED
    Since 2014-01-07
  • FL RA
    APPROVED
    Since 2007-05-22

Branch Locations

2480 Canyon Blvd Suite M4, Boulder, CO 80302-6702 • United States

9899 Schwab Way Suite 100, Lone Tree, CO 80124-5377 • 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. Boulder CO 08/1995 Present
Charles Schwab Bank, Ssb Boulder CO 02/2005 Present
Previous Registrations
  • 2021-12-14 → 2022-10-14
    Td Ameritrade, Inc.
    Boulder, CO
    Omaha, NE
    Boulder, CO
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-09-20
S63 Uniform Securities Agent State Law Examination 1995-12-06
  • S66 Uniform Combined State Law Examination
    2004-09-20
  • S63 Uniform Securities Agent State Law Examination
    1995-12-06
Other Names
  • Steven S Higgins

View on SEC IAPD

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