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John Stephen Moskowitz

Charles Schwab & Co., Inc.

Bellevue, WA

Phoenix, AZ

CRD 2836466

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Employer firm

Charles Schwab & Co., Inc. CRD 5393

955,800 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Selection of other advisers
  • WRAP FEE PROGRAM SPONSOR AND FINANCIAL PLANNING ADVISOR REFERRAL PROGRAM

From the firm’s Form ADV. Read the guides:

Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
WA RA APPROVED 2000-02-09
  • WA RA
    APPROVED
    Since 2000-02-09

Branch Locations

Bellevue, WA • United States

2423 E Lincoln Dr, Phoenix, AZ 85016-1215 • 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, Inc. Bellevue WA 07/2021 12/2023
Charles Schwab & Co., Inc. Bellevue WA 12/1998 Present
Previous Registrations
  • 2021-07-26 → 2022-10-14
    Td Ameritrade, Inc.
    Bellevue, WA
    Omaha, NE
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-01-31
S63 Uniform Securities Agent State Law Examination 1997-01-08
  • S65 Uniform Investment Adviser Law Examination
    1997-01-31
  • S63 Uniform Securities Agent State Law Examination
    1997-01-08

View on SEC IAPD

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