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Colin Patrick Phoenix

Charles Schwab & Co., Inc.

Amherst, NY

Pittsford, NY

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Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-04-22
FL RA APPROVED 2016-06-28
  • NY RA
    APPROVED
    Since 2021-04-22
  • FL RA
    APPROVED
    Since 2016-06-28

Branch Locations

8118 Transit Road, Amherst, NY 14221 • United States

1250 Pittsford Victor Rd - Bldg 200 Suite 190, Pittsford, NY 14534-9500 • 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 & Co., Inc. Amherst NY 06/2016 Present
Charles Schwab Bank Amherst NY 06/2016 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2012-04-09
S63 Uniform Securities Agent State Law Examination 2010-11-18
  • S65 Uniform Investment Adviser Law Examination
    2012-04-09
  • S63 Uniform Securities Agent State Law Examination
    2010-11-18
Designations

View on SEC IAPD

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