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Charles Schwab & Co., Inc. CRD 5393
955,800 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
425 Market Street 17Th Floor, San Francisco, CA 94105 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2022-12-20 |
Branch Locations
100 Broadway, New York City, NY 10005 • United States
60 E 42Nd St Ground Floor, New York City, NY 10165-0007 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Fidelity Investments | Atlanta | GA | 10/2016 | 06/2018 |
| Neuberger Berman | New York | NY | 04/2014 | 10/2016 |
| Bny Mellon | New York | NY | 07/2018 | 06/2019 |
| Triplemint | New York | NY | 07/2019 | 12/2019 |
| Compass | Brooklyn | NY | 12/2019 | 03/2020 |
| Northwestern Mutual Life Insurance Company | Milwaukee | WI | 04/2020 | 11/2020 |
| Northwestern Mutual Investment Services Llc | New York | NY | 04/2020 | 11/2020 |
| Equitable Advisors | Woodbury | NY | 12/2020 | 11/2022 |
| Charles Schwab & Co., Inc. | New York City | NY | 12/2022 | Present |
| Charles Schwab Bank Ssb | New York City | NY | 12/2022 | Present |
| Td Ameritrade Inc | Newy York City | NY | 11/2023 | 06/2024 |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2014-02-23 |
| S63 | Uniform Securities Agent State Law Examination | 2010-11-19 |
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