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425 Market Street 17Th Floor, San Francisco, CA 94105 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2025-07-16 |
Branch Locations
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Investment Professionals Inc | San Antonio | TX | 04/2015 | 04/2018 |
| Charles Schwab & Co., Inc. | Westlake | TX | 04/2018 | Present |
| Schwab Wealth Advisory, Inc. | Westlake | TX | 07/2025 | Present |
1) 3 Up 3 Down LLC | Investment Related:No|Retail|President/Sole Proprietor|1/1/2025|Less than 20|0|Sole owner, new small business created to buy and sell sports trading cards online.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-07-26 |
| S63 | Uniform Securities Agent State Law Examination | 2006-04-25 |
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