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David K Shin

Charles Schwab & Co., Inc.

Brea, CA

Seal Beach, CA

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Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2022-01-26
  • CA RA
    APPROVED
    Since 2022-01-26

Branch Locations

3421 E. Imperial Highway Suite E-1, Brea, CA 92823 • United States

2399 Seal Beach Blvd. Suite 101, Seal Beach, CA 90740-5630 • 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
M.S. Howells &Amp; Co. Scottsdale AZ 04/2014 06/2018
Klk Capital Management Llc Irvine CA 04/2014 06/2018
Td Ameritrade, Inc. Brea CA 06/2018 12/2022
Charles Schwab & Co., Inc. Seal Beach CA 12/2022 Present
Charles Schwab Bank, Ssb Seal Beach CA 11/2023 Present
  • 04/2014 → 06/2018
    M.S. Howells &Amp; Co.
    Scottsdale, AZ
  • 04/2014 → 06/2018
    Klk Capital Management Llc
    Irvine, CA
  • 06/2018 → 12/2022
    Td Ameritrade, Inc.
    Brea, CA
  • 12/2022 → Present
    Charles Schwab & Co., Inc.
    Seal Beach, CA
  • 11/2023 → Present
    Charles Schwab Bank, Ssb
    Seal Beach, CA
Previous Registrations
  • 2018-06-28 → 2023-09-07
    Td Ameritrade Investment Management, Llc
    Long Beach, CA
  • 2018-06-28 → 2022-10-14
    Td Ameritrade, Inc.
    Long Beach, CA
    Brea, CA
  • 2014-06-23 → 2018-07-03
    Klk Capital Management Llc
    Los Angeles, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-06-21
  • S66 Uniform Combined State Law Examination
    2014-06-21
Other Names
  • David Shin
  • Ka R Shin

View on SEC IAPD

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