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Justin Kwok

Charles Schwab & Co., Inc.

San Mateo, CA

Newport 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 2026-06-23
  • CA RA
    APPROVED
    Since 2026-06-23

Branch Locations

1300 South El Camino Real Suite 110, San Mateo, CA 94402-2964 • United States

16 Corporate Plaza Dr, Newport Beach, CA 92660 • 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
Hsbc Bank Usa, N.A. San Francisco CA 08/2016 10/2017
Morgan Stanley Smith Barney Llc Cupertino CA 10/2017 05/2024
Morgan Stanley Private Bank, N.A. Cupertino CA 10/2017 05/2024
Rockefeller Financial Llc Los Gatos CA 05/2024 05/2026
Charles Schwab & Co, Inc San Mateo CA 06/2026 Present
Charles Schwab Bank, Ssb San Mateo CA 06/2026 Present
  • 08/2016 → 10/2017
    Hsbc Bank Usa, N.A.
    San Francisco, CA
  • 10/2017 → 05/2024
    Morgan Stanley Smith Barney Llc
    Cupertino , CA
  • 10/2017 → 05/2024
    Morgan Stanley Private Bank, N.A.
    Cupertino , CA
  • 05/2024 → 05/2026
    Rockefeller Financial Llc
    Los Gatos , CA
  • 06/2026 → Present
    Charles Schwab & Co, Inc
    San Mateo, CA
  • 06/2026 → Present
    Charles Schwab Bank, Ssb
    San Mateo, CA
Previous Registrations
  • 2024-05-14 → 2026-06-05
    Rockefeller Financial Llc
    San Francisco, CA
    Los Gatos, CA
  • 2017-10-30 → 2024-05-21
    Morgan Stanley
    Monterey, CA
    Salinas, CA
    Santa Cruz, CA
    San Jose, CA
    Palo Alto, CA
    Burlingame, CA
    Menlo Park, CA
    Menlo Park, CA
    San Mateo, CA
    Santa Cruz, CA
    Honolulu, HI
    Los Gatos, CA
    Kahului, HI
    Palo Alto, CA
    Cupertino, CA
  • 2016-04-07 → 2017-10-18
    Hsbc Securities (Usa) Inc.
    San Francisco, CA
    San Francisco, CA
    Palo Alto, CA
  • 2011-01-03 → 2016-04-06
    Wells Fargo Clearing Services, Llc
    San Francisco, CA
    San Francisco, CA
    San Francisco, CA
    Corte Madera, CA
    San Francisco, CA
    San Francisco, CA
    Palo Alto, CA
    Foster City, CA
  • 2009-11-18 → 2011-01-03
    Wells Fargo Investments, Llc
    San Francisco, CA
  • 2009-01-07 → 2009-06-23
    Wells Fargo Investments, Llc
    South San Francisco, CA
Other Businesses

1) self | Investment Related:No|2700 ribier way|Real Estate (Non-Agent/Broker)|owner of property|2022-01-01|Less than 20|0|owner

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-01-06
  • S66 Uniform Combined State Law Examination
    2009-01-06
Other Names
  • Justin Kwun To Kwok
  • Justin K Kwok

View on SEC IAPD

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TRANSAMERICA FINANCIAL ADVISORS, LLC
WELLS FARGO CLEARING SERVICES, LLC

Other Investors

MARCOS D PASTRANA
DEAN ALAN BECKER
SCOTT BARTLETT MCCLOSKEY
ABIY FISSEHA
CHRISTIAN MICHAEL BRETZ
CHRISTOPHER JAMES CALL
CLAY DEAN WILLIAM STAFFORD
Jacob Daly

Other Offices

NEWFRONT RETIREMENT SERVICES, INC. · SAN MATEO, CA
ESO MANAGEMENT SERVICES LLC · SAN MATEO, CA
FARMERS ASSET MANAGEMENT, LLC · San Mateo, CA
EAGLE STRATEGIES LLC · SAN MATEO, CA
LPL FINANCIAL LLC · SAN MATEO, CA
FISHER INVESTMENTS · SAN MATEO, CA
FISHER INVESTMENTS · SAN MATEO, CA
FISHER INVESTMENTS · SAN MATEO, CA

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