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425 Market Street 17Th Floor, San Francisco, CA 94105 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2023-01-25 |
| AZ | RA | APPROVED | 2023-01-06 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| The Vanguard Group, Inc. | Scottsdale | AZ | 05/2014 | 09/2016 |
| Charles Schwab & Co., Inc. | Phoenix | AZ | 09/2016 | 10/2019 |
| Schwab Private Client Investment Advisors | Phoenix | AZ | 09/2016 | 01/2017 |
| Vanguard Marketing Corporation | Scottsdale | AZ | 05/2014 | 09/2016 |
| Jp Morgan Securities, Llc | Sun City | AZ | 10/2019 | 06/2021 |
| Jp Morgan Chase Bank, N.A. | Sun City | AZ | 10/2019 | 06/2021 |
| Charles Schwab & Co., Inc. | Phoenix | AZ | 06/2021 | Present |
| Schwab Wealth Advisory, Inc. | Phoenix | AZ | 12/2022 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2007-05-20 |
| S63 | Uniform Securities Agent State Law Examination | 2006-07-19 |
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