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Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2019-01-04
FL RA APPROVED 2017-02-07
  • TX RA
    APPROVED_RES
    Since 2019-01-04
  • FL RA
    APPROVED
    Since 2017-02-07

Branch Locations

28200 Us Highway 19 North Suite A, Clearwater, FL 33761-2622 • United States

4304 W Boy Scout Blvd., Tampa, FL 33607 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Charles Schwab & Co., Inc. Clearwater FL 07/2015 Present
Charles Schwab Bank Clearwater FL 11/2016 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-12-11
  • S66 Uniform Combined State Law Examination
    2015-12-11

View on SEC IAPD

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