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425 Market Street 17Th Floor, San Francisco, CA 94105 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2023-11-27 |
| NY | RA | APPROVED | 2022-05-17 |
Branch Locations
19 East Elm Street, Greenwich, CT 06830-6518 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Bank, Na | Croton On Hudson | NY | 07/2016 | 09/2021 |
| Wells Fargo Clearing Services, Llc | Croton On Hudson | NY | 10/2018 | 09/2021 |
| Charles Schwab & Co., Inc. | Greenwich | CT | 09/2021 | Present |
| Charles Schwab Bank, Ssb | Greenwich | CT | 09/2021 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2022-05-13 |
| S63 | Uniform Securities Agent State Law Examination | 2019-04-02 |
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