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Chad E Shultz

Charles Schwab & Co., Inc.

Newport Beach, CA

Lone Tree, CO

CRD 2694257

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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

AuthorityCategoryStatusDate
CA RA APPROVED 2003-02-05
  • CA RA
    APPROVED
    Since 2003-02-05

Branch Locations

16 Corporate Plaza Dr, Newport Beach, CA 92660 • United States

9800 Schwab Way, Lone Tree, CO 80124 • 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. Newport Beach CA 12/1997 Present
Charles Schwab Bank Newport Beach CA 02/2005 Present
Td Ameritrade, Inc. Newport Beach CA 07/2021 06/2024
  • 12/1997 → Present
    Charles Schwab & Co., Inc.
    Newport Beach, CA
  • 02/2005 → Present
    Charles Schwab Bank
    Newport Beach, CA
  • 07/2021 → 06/2024
    Td Ameritrade, Inc.
    Newport Beach, CA
Previous Registrations
  • 2021-07-28 → 2022-10-14
    Td Ameritrade, Inc.
    Omaha, NE
    Newport Beach, CA
    Newport Beach, CA
    Omaha, NE
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-03-30
S63 Uniform Securities Agent State Law Examination 1995-12-28
  • S65 Uniform Investment Adviser Law Examination
    1999-03-30
  • S63 Uniform Securities Agent State Law Examination
    1995-12-28
Other Names
  • Chad Edward Shultz

View on SEC IAPD

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