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Bharti Gupta

Charles Schwab & Co., Inc.

Walnut Creek, CA

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Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2019-09-04
  • CA RA
    APPROVED
    Since 2019-09-04

Branch Locations

1231 S. California Blvd, Walnut Creek, CA 94596-5122 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Walnut Creek CA 08/2018 06/2019
Bank Of America Wichita KS 04/2014 09/2017
Unemployed Wichita KS 09/2017 08/2018
Charles Schwab & Co., Inc. Walnut Creek CA 08/2019 Present
Charles Schwab Bank Walnut Creek CA 08/2019 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-11-30
S63 Uniform Securities Agent State Law Examination 1999-02-19
  • S66 Uniform Combined State Law Examination
    2018-11-30
  • S63 Uniform Securities Agent State Law Examination
    1999-02-19
Other Names
  • Bharti Gupta

View on SEC IAPD

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