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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 2022-10-06
  • TX RA
    APPROVED
    Since 2022-10-06

Branch Locations

Fort Worth, TX • United States

3000 Schwab Way, Westlake, TX 76262 • 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
Td Ameritrade Fort Worth TX 06/2010 04/2023
Charles Schwab & Co., Inc. Fort Worth TX 04/2023 Present
Td Ameritrade Inc. Westlake TX 09/2023 06/2024
  • 06/2010 → 04/2023
    Td Ameritrade
    Fort Worth, TX
  • 04/2023 → Present
    Fort Worth, TX
  • 09/2023 → 06/2024
    Td Ameritrade Inc.
    Westlake, TX
Previous Registrations
  • 2013-09-19 → 2022-10-14
    Td Ameritrade, Inc.
    Westlake, TX
    Fort Worth, TX
  • 2013-09-19 → 2018-04-13
    Td Ameritrade Investment Management, Llc
    Fort Worth, TX
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-09-09
S63 Uniform Securities Agent State Law Examination 2012-10-01
  • S66 Uniform Combined State Law Examination
    2013-09-09
  • S63 Uniform Securities Agent State Law Examination
    2012-10-01
Other Names
  • Michael Sorola

View on SEC IAPD

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