Dominic Lopez

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

Authority	Category	Status	Date
MO	RA	APPROVED	2003-02-10

MO RA
APPROVED

Since 2003-02-10

Branch Locations

700 W. 47Th Street Suite 110, Kansas City, MO 64112-1805 • United States

16811 Burke Street Suite 101, Omaha, NE 68118 • United States

Disclosures

1 disclosure category 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 No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Charles Schwab & Co., Inc.	Kansas City	MO	08/2000	Present
Charles Schwab Bank	Kansas City	MO	02/2005	Present

08/2000 → Present

Charles Schwab & Co., Inc.

Kansas City, MO
02/2005 → Present

Charles Schwab Bank

Kansas City, MO

Other Businesses

Start Date = 03-25-09| Park University| Advisory Board Member School of Business| Parkville, MO| Hours/Month = Less than 20| Meet with other Advisory Board Members to discuss ideas for Park University School of Buiness, Plan Summer Business Academy for at risk High Scool Students who may not attend college.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2003-02-04
S63	Uniform Securities Agent State Law Examination	1996-05-23

S66 Uniform Combined State Law Examination

2003-02-04
S63 Uniform Securities Agent State Law Examination

1996-05-23

Other Names

Nick Lopez

View on SEC IAPD