Zhenjiang Allan Gu

Charles Schwab & Co., Inc.

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Current Employers

Charles Schwab & Co., Inc.

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

Current Registrations

Authority	Category	Status	Date
NJ	RA	APPROVED	2022-03-14

NJ RA
APPROVED

Since 2022-03-14

Branch Locations

110 Morris Street Suite 102, Morristown, NJ 07960 • 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

Organization	City	State	From	To
Td Ameritrade	Forest Hills	NY	08/2012	12/2022
Charles Schwab And Co., Inc.	Forest Hills	NY	12/2022	Present
Charles Schwab Bank	Morristown	NJ	12/2022	Present

08/2012 → 12/2022

Td Ameritrade

Forest Hills, NY
12/2022 → Present

Charles Schwab And Co., Inc.

Forest Hills, NY
12/2022 → Present

Charles Schwab Bank

Morristown, NJ

Previous Registrations

2012-09-26 → 2023-09-07

Td Ameritrade Investment Management, Llc

Forrest Hills, NY

Morristown, NJ

Short Hills, NJ

Millburn, NJ
2012-09-26 → 2022-10-14

Td Ameritrade, Inc.

Forest Hills, NY

Morristown, NJ

Short Hills, NJ

Millburn, NJ
2011-05-31 → 2012-08-21

Chase Investment Services Corp.

New York, NY

New York, NY

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2011-05-27
S63	Uniform Securities Agent State Law Examination	2007-12-06

S65 Uniform Investment Adviser Law Examination

2011-05-27
S63 Uniform Securities Agent State Law Examination

2007-12-06

Other Names

Allan Gu
Zhen Jiang Gu

View on SEC IAPD

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