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Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
MO RA APPROVED 2022-10-03
  • MO RA
    APPROVED
    Since 2022-10-03

Branch Locations

500 Maryville University Drive, St Louis, MO 63141 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Kohls Arnold MO 09/2016 03/2017
Homemaker Arnold MO 08/2015 09/2016
Scottrade, Inc. St. Louis MO 03/2017 09/2018
Td Ameritrade, Inc. St Louis MO 02/2018 12/2022
Charles Schwab And Co., Inc. St Louis MO 12/2022 Present
  • 09/2016 → 03/2017
    Kohls
    Arnold, MO
  • 08/2015 → 09/2016
    Homemaker
    Arnold, MO
  • 03/2017 → 09/2018
    Scottrade, Inc.
    St. Louis, MO
  • 02/2018 → 12/2022
    Td Ameritrade, Inc.
    St Louis, MO
  • 12/2022 → Present
    Charles Schwab And Co., Inc.
    St Louis, MO
Previous Registrations
  • 2019-06-06 → 2022-10-14
    Td Ameritrade, Inc.
    St Louis, MO
    St. Louis, MO
  • 2019-06-06 → 2021-02-22
    Td Ameritrade Investment Management, Llc
    St. Louis, MO
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-05-13
S63 Uniform Securities Agent State Law Examination 2017-05-23
  • S66 Uniform Combined State Law Examination
    2019-05-13
  • S63 Uniform Securities Agent State Law Examination
    2017-05-23
Other Names
  • Nicole Mccallister

View on SEC IAPD

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