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Jefferson Holguin

Charles Schwab & Co., Inc.

Lone Tree, CO

Franklin Park, NJ

CRD 5667209

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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
NJ RA APPROVED 2022-03-14
  • NJ RA
    APPROVED
    Since 2022-03-14

Branch Locations

9800 Schwab Way, Lone Tree, CO 80124 • United States

Franklin Park, NJ • 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
Td Ameritrade, Inc. Franklin Park NJ 12/2014 06/2024
Charles Schwab & Co., Inc. Franklin Park NJ 01/2022 Present
Td Ameritrade Investment Management, Llc Jersey City NJ 01/2015 09/2023
  • 12/2014 → 06/2024
    Td Ameritrade, Inc.
    Franklin Park, NJ
  • 01/2022 → Present
    Charles Schwab & Co., Inc.
    Franklin Park, NJ
  • 01/2015 → 09/2023
    Td Ameritrade Investment Management, Llc
    Jersey City, NJ
Previous Registrations
  • 2015-01-05 → 2023-09-07
    Td Ameritrade Investment Management, Llc
    Jersey City, NJ
  • 2015-01-06 → 2022-10-14
    Td Ameritrade, Inc.
    Jersey City, NJ
    Jersey City, NJ
    Lone Tree, CO
    Lone Tree, CO
    Franklin Park, NJ
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-12-29
S63 Uniform Securities Agent State Law Examination 2011-04-11
  • S66 Uniform Combined State Law Examination
    2014-12-29
  • S63 Uniform Securities Agent State Law Examination
    2011-04-11
Other Names
  • Jeff Holguin

View on SEC IAPD

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