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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 |
|---|---|---|---|
| CO | RA | APPROVED | 2021-11-17 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Charles Schwab & Co., Inc. | Lone Tree | CO | 09/2013 | Present |
| Turner Roofing & Exteriors | Littleton | CO | 04/2013 | 02/2021 |
| Rocky Mountain Catering | Littleton | CO | 08/2013 | Present |
(1) ROCKY MOUNTAIN CATERING | NOT INVESTMENT RELATED | LITTLETON, COLORADO | START DATE 08/25/2013 | SERVER | LESS THAN 20 HOURS PER MONTH | NONE DURING SECURITIES TRADING HOURS; (2) SUMIT'S YOGA LITTLETON | NOT INVESTMENT RELATED | LITTLETON, COLORADO | START DATE 05/08/2019 | YOGA INSTRUCTOR | LESS THAN 20 HOURS PER MONTH | NONE DURING SECURITIES TRADING HOURS.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-11-17 |
| S63 | Uniform Securities Agent State Law Examination | 2019-11-30 |
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