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Stephen Milan Smith

Charles Schwab & Co., Inc.

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
TX RA APPROVED 2021-04-19
CA RA APPROVED 2017-08-09
  • TX RA
    APPROVED
    Since 2021-04-19
  • CA RA
    APPROVED
    Since 2017-08-09

Branch Locations

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
Unemployed Carlsbad CA 05/2016 08/2017
Charles Schwab & Co., Inc. Newport Beach CA 08/2017 Present
Charles Schwab Bank Newport Beach CA 08/2017 Present
  • 05/2016 → 08/2017
    Unemployed
    Carlsbad, CA
  • 08/2017 → Present
    Charles Schwab & Co., Inc.
    Newport Beach, CA
  • 08/2017 → Present
    Charles Schwab Bank
    Newport Beach, CA
Previous Registrations
Other Businesses

1) Room Rentals | Investment Related:No|109 Columbia Street|Newport Beach|CA|92663|USA|Real Estate (Non-Agent/Broker)|Rental|7/1/2020|Less than 20|0|I purchased a home. Renting out two rooms to roommates.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-04-08
S63 Uniform Securities Agent State Law Examination 2010-03-05
  • S66 Uniform Combined State Law Examination
    2013-04-08
  • S63 Uniform Securities Agent State Law Examination
    2010-03-05
Designations

View on SEC IAPD

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OKAPI CAPITAL, LLC · NEWPORT BEACH, CA
OCVC, LLC · NEWPORT BEACH, CA
MIG CAPITAL, LLC · NEWPORT BEACH, CA
RESEARCH AFFILIATES · NEWPORT BEACH, CA
PAAMCO PRISMA, LLC · NEWPORT BEACH, CA
COMPOSITION WEALTH, LLC · Newport Beach, CA
J.P. MORGAN SECURITIES LLC · NEWPORT BEACH, CA
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