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Nicholas A Garcia

Charles Schwab & Co., Inc.

Potomac, MD

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Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
MD RA APPROVED 2023-06-26
DC RA APPROVED 2018-11-21
  • MD RA
    APPROVED
    Since 2023-06-26
  • DC RA
    APPROVED
    Since 2018-11-21

Branch Locations

12435 Park Potomac Ave Suite R-3, Potomac, MD 20854 • 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
Scottrade, Inc. Burtonsville MD 06/2013 03/2018
Charles Schwab & Co., Inc. Potomac MD 10/2018 Present
Robert H Smith School Of Business University Of Maryland College Park MD 04/2018 09/2018
Charles Schwab Bank Potomac MD 10/2018 Present
  • 06/2013 → 03/2018
    Scottrade, Inc.
    Burtonsville, MD
  • 10/2018 → Present
    Charles Schwab & Co., Inc.
    Potomac, MD
  • 04/2018 → 09/2018
    Robert H Smith School Of Business University Of Maryland
    College Park, MD
  • 10/2018 → Present
    Charles Schwab Bank
    Potomac, MD
Previous Registrations
  • 2017-08-02 → 2018-03-09
    Scottrade Investment Management
    Saint Louis, MO
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-08-02
S63 Uniform Securities Agent State Law Examination 2013-10-21
  • S66 Uniform Combined State Law Examination
    2017-08-02
  • S63 Uniform Securities Agent State Law Examination
    2013-10-21
Other Names
  • Nicholas Alexander Garcia

View on SEC IAPD

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