Wendy Nicole Banks

Charles Schwab & Co., Inc.

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Current Employers

Charles Schwab & Co., Inc.

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

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2016-06-15

CA RA
APPROVED

Since 2016-06-15

Branch Locations

19499 Stevens Creek Blvd Suite 100, Cupertino, CA 95014 • 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

Organization	City	State	From	To
Charles Schwab & Co.,Inc	Cupertino	CA	02/2013	Present
Charles Schwab Bank	Cupertino	CA	02/2013	Present

02/2013 → Present

Charles Schwab & Co.,Inc

Cupertino, CA
02/2013 → Present

Charles Schwab Bank

Cupertino, CA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2016-06-14
S63	Uniform Securities Agent State Law Examination	2014-08-18

S65 Uniform Investment Adviser Law Examination

2016-06-14
S63 Uniform Securities Agent State Law Examination

2014-08-18

View on SEC IAPD

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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · CUPERTINO, CA

CITIGROUP GLOBAL MARKETS INC. · CUPERTINO, CA

EVEREST PRIVATE WEALTH · CUPERTINO, CA

AIMTOP ADVISORS, LLC · CUPERTINO, CA

AKRISH FINANCIAL ADVISORY · CUPERTINO, CA

FV ADVISORS LLC · CUPERTINO, CA

MINOVA CAPITAL LLC · CUPERTINO, CA

CAPITAL V GROUP LLC · CUPERTINO, CA

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