Jason Le

Employer firm

Charles Schwab & Co., Inc. CRD 5393

955,800 advisory clients

Reported services (Item 5G)

Financial planning
Selection of other advisers
WRAP FEE PROGRAM SPONSOR AND FINANCIAL PLANNING ADVISOR REFERRAL PROGRAM

From the firm’s Form ADV. Read the guides:

Current Employers

Charles Schwab & Co., Inc.

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

Current Registrations

Authority	Category	Status	Date
AZ	RA	APPROVED	2023-06-05

AZ RA
APPROVED

Since 2023-06-05

Branch Locations

2423 E Lincoln Dr, Phoenix, AZ 85016-1215 • 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

Organization	City	State	From	To
The Antigua Group, Inc.	Peoria	AZ	01/2012	08/2017
Charles Schwab & Co., Inc.	Phoenix	AZ	08/2017	Present
Glendale Community College	Glendale	AZ	08/2011	Present
Charles Schwab Bank, Ssb	Phoenix	AZ	10/2022	Present

01/2012 → 08/2017

The Antigua Group, Inc.

Peoria, AZ
08/2017 → Present

Charles Schwab & Co., Inc.

Phoenix, AZ
08/2011 → Present

Glendale Community College

Glendale, AZ
10/2022 → Present

Charles Schwab Bank, Ssb

Phoenix, AZ

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2022-07-16
S63	Uniform Securities Agent State Law Examination	2018-01-16

S66 Uniform Combined State Law Examination

2022-07-16
S63 Uniform Securities Agent State Law Examination

2018-01-16

View on SEC IAPD

Employer firm

Current Employers

Charles Schwab & Co., Inc.

Disclosures

Employment History

Exams

Nearby Firms

Nearby Investors

Nearby Offices

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