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Caleb John Gerard

Charles Schwab & Co., Inc.

Austin, TX

Chandler, AZ

CRD 2695218

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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
AZ RA APPROVED 2023-05-25
CA RA APPROVED 2006-02-07
  • AZ RA
    APPROVED
    Since 2023-05-25
  • CA RA
    APPROVED
    Since 2006-02-07

Branch Locations

11800 Schwab Way, Austin, TX 78758 • United States

Chandler, AZ • 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 01/2006 Present
Previous Registrations
  • 2005-10-31 → 2006-02-17
    Osaic Services, Inc.
    Phoenix, AZ
  • 2005-09-27 → 2005-10-31
    Sunamerica Securities, Inc.
    Phoenix, AZ
  • 2001-05-15 → 2005-09-06
    Wells Fargo Investments, Llc
    Pasadena, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-02-21
S63 Uniform Securities Agent State Law Examination 1996-02-08
  • S65 Uniform Investment Adviser Law Examination
    1996-02-21
  • S63 Uniform Securities Agent State Law Examination
    1996-02-08

View on SEC IAPD

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