Mia S Amos

Current Employers

Charles Schwab & Co., Inc.

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

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2022-10-10

CA RA
APPROVED

Since 2022-10-10

Branch Locations

Carlsbad, CA • United States

3000 Schwab Way, Westlake, TX 76262-8104 • 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

Organization	City	State	From	To
Td Ameritrade	San Diego	CA	06/2006	09/2023
Charles Schwab & Co., Inc.	Carlsbad	CA	10/2022	Present

06/2006 → 09/2023

Td Ameritrade

San Diego, CA
10/2022 → Present

Charles Schwab & Co., Inc.

Carlsbad, CA

Previous Registrations

2009-12-01 → 2022-10-14

Td Ameritrade, Inc.

Westlake, TX

San Diego, CA
2009-12-01 → 2018-12-10

Td Ameritrade Investment Management, Llc

San Diego, CA

San Diego, CA

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2009-11-23
S63	Uniform Securities Agent State Law Examination	2009-06-22

S66 Uniform Combined State Law Examination

2009-11-23
S63 Uniform Securities Agent State Law Examination

2009-06-22

Other Names

Mia S Pellegri
Mia Amos

View on SEC IAPD