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Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2025-03-18
  • IL RA
    APPROVED
    Since 2025-03-18

Branch Locations

19 West Chicago Ave, Naperville, IL 60540-5301 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Charles Schwab & Co., Inc. Naperville IL 11/2022 Present
Kenneth Stein Violins E Elmhurst IL 01/2022 11/2022
Self Employed Westmont IL 08/2015 01/2022
Charles Schwab Bank, Ssb Naperville IL 01/2025 Present
  • 11/2022 → Present
    Naperville, IL
  • 01/2022 → 11/2022
    Kenneth Stein Violins E
    Elmhurst, IL
  • 08/2015 → 01/2022
    Self Employed
    Westmont, IL
  • 01/2025 → Present
    Charles Schwab Bank, Ssb
    Naperville, IL
Other Businesses

1) N/A|Investment Related: No|Broadcasting/Music/Film|Violinist|6/3/2024|Less than 20 hour/month - 0 during trading hours|I teach music and play gigs occasionally

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-03-18
S63 Uniform Securities Agent State Law Examination 2023-02-03
  • S66 Uniform Combined State Law Examination
    2025-03-18
  • S63 Uniform Securities Agent State Law Examination
    2023-02-03

View on SEC IAPD

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