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Galo F Tapia

Charles Schwab & Co., Inc.

Phoenix, AZ

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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 2021-08-12
  • AZ RA
    APPROVED
    Since 2023-05-25
  • CA RA
    APPROVED
    Since 2021-08-12

Branch Locations

4750 E Francisco, Phoenix, AZ 85044 • 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 12/1995 11/2019
Financial Engines Advisors L.L.C. Santa Clara CA 06/2020 06/2021
Unemployed Mesa AZ 11/2019 06/2020
Charles Schwab & Co., Inc. Phoenix AZ 07/2021 Present
Charles Schwab Bank, Ssb Phoenix AZ 03/2023 Present
  • 12/1995 → 11/2019
    Charles Schwab & Co., Inc.
    Phoenix, AZ
  • 06/2020 → 06/2021
    Financial Engines Advisors L.L.C.
    Santa Clara, CA
  • 11/2019 → 06/2020
    Unemployed
    Mesa, AZ
  • 07/2021 → Present
    Charles Schwab & Co., Inc.
    Phoenix, AZ
  • 03/2023 → Present
    Charles Schwab Bank, Ssb
    Phoenix, AZ
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2020-07-29
S63 Uniform Securities Agent State Law Examination 1996-04-19
  • S65 Uniform Investment Adviser Law Examination
    2020-07-29
  • S63 Uniform Securities Agent State Law Examination
    1996-04-19
Other Names
  • Galo Fernando Tapia
  • Galo F Tapia
  • Galo Fernando Tapia

View on SEC IAPD

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