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425 Market Street 17Th Floor, San Francisco, CA 94105 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OH | RA | APPROVED | 2022-09-19 |
Branch Locations
3000 Schwab Way, Westlake, TX 76262 • United States
Amelia, OH • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cetera Advisors Llc | Cincinnati | OH | 09/2016 | 06/2018 |
| Freeman Heyne | Cincinnati | OH | 08/2016 | 12/2017 |
| Freeman Heyne Toma Llc | Cincinnati | OH | 01/2018 | 06/2018 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Cincinnati | OH | 08/2018 | 04/2019 |
| N/A | Amelia | OH | 06/2018 | 08/2018 |
| Bank Of America, N.A. | Cincinnati | OH | 08/2018 | 04/2019 |
| Ultimus Fund Distributors, Llc | Cincinnati | OH | 04/2019 | 10/2019 |
| Ultimus Fund Solutions, Llc | Cincinnati | OH | 04/2019 | 10/2019 |
| Citibank | Florence | KY | 10/2019 | 08/2022 |
| Charles Schwab & Co., Inc. | Amelia | OH | 08/2022 | Present |
1) DoorDash|Investment Related: No|Delivery|Delivery Driver|11/11/2023|Less than 20 hour/month - 0 during trading hours|Delivering food and completing online orders
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-03-21 |
| S63 | Uniform Securities Agent State Law Examination | 2013-11-07 |
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