Luis Sarmiento

Current Employers

Charles Schwab & Co., Inc.

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2019-01-02
NJ	RA	APPROVED	2018-08-22

TX RA
APPROVED

Since 2019-01-02
NJ RA
APPROVED

Since 2018-08-22

Branch Locations

318 Highway 202 North Suite 3, Flemington, NJ 08822 • 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 No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Unemployed	Glen Gardner	NJ	11/2016	04/2017
Novak Motors	Lebanon	NJ	06/2015	11/2016
David Lerner Associates, Inc.	Lawrenceville	NJ	04/2017	04/2018
Charles Schwab & Co., Inc.	Flemington	NJ	04/2018	Present

11/2016 → 04/2017

Unemployed

Glen Gardner, NJ
06/2015 → 11/2016

Novak Motors

Lebanon, NJ
04/2017 → 04/2018

David Lerner Associates, Inc.

Lawrenceville, NJ
04/2018 → Present

Charles Schwab & Co., Inc.

Flemington, NJ

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2018-08-21
S63	Uniform Securities Agent State Law Examination	2017-07-10

S66 Uniform Combined State Law Examination

2018-08-21
S63 Uniform Securities Agent State Law Examination

2017-07-10

Other Names

Luis F Sarmiento

View on SEC IAPD

Current Employers

Charles Schwab & Co., Inc.

Disclosures

Employment History

Exams

Other Names

Other Firms

Other Investors

Other Offices

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