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Stephen Michael Spencer

Charles Schwab & Co., Inc.

Tacoma, WA

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Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
WA RA APPROVED 2021-08-04
  • WA RA
    APPROVED
    Since 2021-08-04

Branch Locations

1148 Broadway Suite 110, Tacoma, WA 98402-3589 • 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
Charles Schwab & Co., Inc Tacoma WA 08/2017 Present
Progressive Austin TX 07/2014 11/2017
Charles Schwab Bank, Ssb Tacoma WA 08/2019 Present
  • 08/2017 → Present
    Charles Schwab & Co., Inc
    Tacoma, WA
  • 07/2014 → 11/2017
    Progressive
    Austin, TX
  • 08/2019 → Present
    Charles Schwab Bank, Ssb
    Tacoma, WA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-12-31
S63 Uniform Securities Agent State Law Examination 2018-01-04
  • S66 Uniform Combined State Law Examination
    2018-12-31
  • S63 Uniform Securities Agent State Law Examination
    2018-01-04

View on SEC IAPD

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