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Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
MN RA APPROVED 2024-09-24
  • MN RA
    APPROVED
    Since 2024-09-24

Branch Locations

3601 Minnesota Drive Suite 430, Edina, MN 55435-9878 • 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
Riversource Distributors Inc Minneapolis MN 02/2017 10/2017
Best Buy Richfield MN 02/2017 11/2017
Richfield Bloomington Honda Richfield MN 08/2016 10/2016
Unemployed Minneapolis MN 10/2016 12/2016
New York Life Insurance Co Edina MN 12/2017 05/2018
Nylife Securities Llc Edina MN 03/2018 06/2018
Ameriprise Financial Minneapolis MN 01/2017 10/2017
Northwestern Mutual Life Insurance Company Minneapolis MN 06/2018 11/2018
Northwestern Mutual Investment Services Llc Minneapolis MN 07/2018 11/2018
U.S. Bank St. Paul MN 02/2019 07/2022
U.S. Bancorp Investments, Inc. St. Paul MN 02/2019 07/2022
Unemployed Minneapolis MN 11/2018 02/2019
Merrill Lynch, Pierce, Fenner & Smith Incorporated Wayzata MN 01/2023 04/2024
Unemployed Minneapolis MN 07/2022 01/2023
Bank Of America N.A. Wayzata MN 04/2023 04/2024
Charles Schwab & Co., Inc. Edina MN 09/2024 Present
Unemployed Minneapolis MN 04/2024 09/2024
Charles Schwab Bank, Ssb Edina MN 09/2024 Present
  • 02/2017 → 10/2017
    Riversource Distributors Inc
    Minneapolis, MN
  • 02/2017 → 11/2017
    Best Buy
    Richfield, MN
  • 08/2016 → 10/2016
    Richfield Bloomington Honda
    Richfield, MN
  • 10/2016 → 12/2016
    Unemployed
    Minneapolis, MN
  • 12/2017 → 05/2018
    New York Life Insurance Co
    Edina, MN
  • 03/2018 → 06/2018
    Nylife Securities Llc
    Edina, MN
  • 01/2017 → 10/2017
    Ameriprise Financial
    Minneapolis, MN
  • 06/2018 → 11/2018
    Northwestern Mutual Life Insurance Company
    Minneapolis, MN
  • 07/2018 → 11/2018
    Northwestern Mutual Investment Services Llc
    Minneapolis, MN
  • 02/2019 → 07/2022
    U.S. Bank
    St. Paul, MN
  • 02/2019 → 07/2022
    St. Paul, MN
  • 11/2018 → 02/2019
    Unemployed
    Minneapolis, MN
  • 01/2023 → 04/2024
    Wayzata, MN
  • 07/2022 → 01/2023
    Unemployed
    Minneapolis, MN
  • 04/2023 → 04/2024
    Bank Of America N.A.
    Wayzata, MN
  • 09/2024 → Present
    Edina, MN
  • 04/2024 → 09/2024
    Unemployed
    Minneapolis, MN
  • 09/2024 → Present
    Charles Schwab Bank, Ssb
    Edina, MN
Previous Registrations
Other Businesses

1) Instacart|Investment Related: No|Food/Beverage Production|instacart shopper|5/3/2021|Less than 20 hour/month - 0 during trading hours|I go to the grocery store to pick out the items the customer wants and deliver the groceries to the customer.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2021-02-03
S63 Uniform Securities Agent State Law Examination 2017-03-28
  • S65 Uniform Investment Adviser Law Examination
    2021-02-03
  • S63 Uniform Securities Agent State Law Examination
    2017-03-28
Other Names
  • Romeo Hoeun

View on SEC IAPD

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