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Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
AZ RA APPROVED 2023-05-31
  • AZ RA
    APPROVED
    Since 2023-05-31

Branch Locations

2423 E Lincoln Dr, Phoenix, AZ 85016-1215 • 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 No
  • Bankruptcy Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Charles Schwab & Co., Inc. Phoenix AZ 10/2013 Present
Other Businesses

1) Airbnb | Investment Related:No|Hotels/Lodging|host|12/15/2021|Varies|0|rent room

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-09-23
S63 Uniform Securities Agent State Law Examination 2014-03-07
  • S66 Uniform Combined State Law Examination
    2016-09-23
  • S63 Uniform Securities Agent State Law Examination
    2014-03-07
Other Names
  • Ricardo Harris

View on SEC IAPD

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