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Steven Brent Santy

Charles Schwab & Co., Inc.

Bedford, NH

Portsmouth, NH

CRD 5631445

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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
NH RA APPROVED 2021-04-20
TX RA APPROVED_RES 2020-01-06
  • NH RA
    APPROVED
    Since 2021-04-20
  • TX RA
    APPROVED_RES
    Since 2020-01-06

Branch Locations

10 Main Street, Bedford, NH 03110 • United States

100 Market St. 4Th Floor, Portsmouth, NH 03801 • 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 Bank, Ssb Portsmouth NH 05/2017 Present
Charles Schwab & Co., Inc Portsmouth NH 05/2017 Present
Unemployed Belmont NH 04/2016 05/2017
  • 05/2017 → Present
    Charles Schwab Bank, Ssb
    Portsmouth, NH
  • 05/2017 → Present
    Charles Schwab & Co., Inc
    Portsmouth, NH
  • 04/2016 → 05/2017
    Unemployed
    Belmont, NH
Previous Registrations
  • 2012-09-12 → 2016-04-11
    Harrisdirect Llc
    Arlington, VA
    Boston, MA
  • 2009-02-25 → 2012-08-14
    First Command Brokerage Services, Inc.
    Alexandria, VA
Other Businesses

1) Residential Rental Property | Investment Related:No|340 W 3rd St. #1|Boston|MA|02127|USA|Real Estate (Non-Agent/Broker)|Owner/Landlord|7/1/2016|Less than 20|0|I own one rental unit which I lease to tenants. Their is no corporation, LLC, etc. associated with it, simply a personal property I rent

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2009-02-24
S63 Uniform Securities Agent State Law Examination 2009-02-06
  • S65 Uniform Investment Adviser Law Examination
    2009-02-24
  • S63 Uniform Securities Agent State Law Examination
    2009-02-06

View on SEC IAPD

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