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Scott Swartz

Charles Schwab & Co., Inc.

Houston, TX

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Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2024-06-27
NC RA APPROVED 2023-09-19
  • TX RA
    APPROVED
    Since 2024-06-27
  • NC RA
    APPROVED
    Since 2023-09-19

Branch Locations

4200 Westheimer Rd Suite 100, Houston, TX 77027 • 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
Harris Teeter Wesley Chapel NC 08/2017 07/2021
Mindlance Westlake TX 09/2022 02/2023
Charles Schwab & Co., Inc. Houston TX 02/2023 Present
Full-Time Education Rocky Mount NC 11/2015 08/2017
Full-Time Education Austin TX 07/2021 09/2022
Charles Schwab Bank, Ssb Houston TX 03/2024 Present
  • 08/2017 → 07/2021
    Harris Teeter
    Wesley Chapel, NC
  • 09/2022 → 02/2023
    Mindlance
    Westlake, TX
  • 02/2023 → Present
    Charles Schwab & Co., Inc.
    Houston, TX
  • 11/2015 → 08/2017
    Full-Time Education
    Rocky Mount, NC
  • 07/2021 → 09/2022
    Full-Time Education
    Austin, TX
  • 03/2024 → Present
    Charles Schwab Bank, Ssb
    Houston, TX
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-09-15
  • S66 Uniform Combined State Law Examination
    2023-09-15
Designations

View on SEC IAPD

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