Best Investors Account Sign in

Adam G Chase

Charles Schwab & Co., Inc.

Reading, MA

Boston, MA

Claim This Profile
Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2023-01-03
TX RA APPROVED_RES 2022-01-10
  • CT RA
    APPROVED
    Since 2023-01-03
  • TX RA
    APPROVED_RES
    Since 2022-01-10

Branch Locations

Reading, MA • United States

One International Place, Boston, MA 02110-2600 • 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
Windhaven Investment Management, Inc. Boston MA 08/2013 03/2018
Charles Schwab Investment Advisory Inc Boston MA 01/2018 12/2021
Charles Schwab & Co., Inc. Boston MA 02/2020 Present
  • 08/2013 → 03/2018
    Windhaven Investment Management, Inc.
    Boston, MA
  • 01/2018 → 12/2021
    Charles Schwab Investment Advisory Inc
    Boston, MA
  • 02/2020 → Present
    Charles Schwab & Co., Inc.
    Boston, MA
Previous Registrations
  • 2018-02-27 → 2022-02-11
    Charles Schwab Investment Advisory, Inc.
    Boston, MA
    San Francisco, CA
  • 2016-11-23 → 2018-03-30
    Thomaspartners, Inc.
    Boston, MA
    Boston, MA
  • 2015-09-15 → 2018-03-30
    Windhaven Investment Management, Inc.
    Boston, MA
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2020-06-22
S65 Uniform Investment Adviser Law Examination 2015-08-27
  • S63 Uniform Securities Agent State Law Examination
    2020-06-22
  • S65 Uniform Investment Adviser Law Examination
    2015-08-27

View on SEC IAPD

More in Reading, MA

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor