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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_RES 2021-03-23
NC RA APPROVED 2016-10-28
  • TX RA
    APPROVED_RES
    Since 2021-03-23
  • NC RA
    APPROVED
    Since 2016-10-28

Branch Locations

1213 Culbreth Drive Suite 124, Wilmington, NC 28405 • United States

1108 Environ Way, Chapel Hill, NC 27517-4418 • 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
First Citizens Bank Raleigh NC 06/2013 10/2016
First Citizens Investor Services Raleigh NC 06/2013 10/2016
Charles Schwab & Co., Inc. Wilmington NC 10/2016 Present
Charles Schwab Bank Wilmington NC 10/2016 Present
  • 06/2013 → 10/2016
    First Citizens Bank
    Raleigh, NC
  • 06/2013 → 10/2016
    First Citizens Investor Services
    Raleigh, NC
  • 10/2016 → Present
    Wilmington, NC
  • 10/2016 → Present
    Charles Schwab Bank
    Wilmington, NC
Previous Registrations
  • 2013-06-20 → 2016-10-17
    Wilmington, NC
    Raleigh, NC
    Columbia, SC
  • 2012-02-22 → 2013-01-10
    Capfinancial Securities, Llc.
    Raleigh, NC
  • 2011-03-15 → 2011-11-14
    Bb&T Institutional Investment Advisers, Inc.
    Greenville, SC
  • 2003-04-01 → 2010-11-09
    Bb&T Asset Management, Inc.
    Raleigh, NC
Other Businesses

1) RENTAL PROPERTY, START DATE 07/01/2017, WILMINGTON. NC; OWNER RENTAL PROPERTY, LESS THAN 20 HOURS A MONTH, NOT INVESTMENT RELATED. MANAGEMENT COMPANY IS RESPONSIBLE. 2) Start Date = 10-14-09| NHC Industrial Pollution Control Authority| Member of Board| Wilmington, NC| Hours/Month = Less than 20| Authority reviews possible environmental impact from industrial activities as a result of private entities issuing debt. Authority advises county on there findings. 3) Start Date = 02-17-11| St Mark Catholic School| advisory council member| Wilmington, NC| Hours/Month = Less than 20| Member of Advisory Council. Provide advise on educational issues. 4) Start Date = 10-29-14| North Carolina Wesleyan College| Advisory council member| Rocky Mount, NC| Hours/Month = Less than 20| Board of Visitors Member. Advise College on educational issues.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2012-05-17
  • S63 Uniform Securities Agent State Law Examination
    2012-05-17
Designations

View on SEC IAPD

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