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Sirtaj Singh Puri

Charles Schwab & Co., Inc.

Thousand Oaks, CA

Woodland Hills, 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 2018-11-06
  • CA RA
    APPROVED
    Since 2018-11-06

Branch Locations

650 S Westlake Boulevard, Thousand Oaks, CA 91362 • United States

6250 Topanga Canyon Blvd Suite 1545, Woodland Hills, CA 91367 • 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. Thousand Oaks CA 03/2018 Present
Charles Schwab Bank Thousand Oaks CA 03/2018 02/2022
Acrc Trials Plano TX 06/2015 03/2018
Student Lancaster CA 08/2007 12/2017
Td Ameritrade, Inc. Thousand Oaks CA 02/2022 06/2024
Td Ameritrade Investment Management, Llc. Thousand Oaks CA 02/2022 06/2024
Charles Schwab Bank Ssb Thousand Oaks CA 04/2024 Present
  • 03/2018 → Present
    Charles Schwab & Co., Inc.
    Thousand Oaks, CA
  • 03/2018 → 02/2022
    Charles Schwab Bank
    Thousand Oaks, CA
  • 06/2015 → 03/2018
    Acrc Trials
    Plano, TX
  • 08/2007 → 12/2017
    Student
    Lancaster, CA
  • 02/2022 → 06/2024
    Td Ameritrade, Inc.
    Thousand Oaks, CA
  • 02/2022 → 06/2024
    Td Ameritrade Investment Management, Llc.
    Thousand Oaks, CA
  • 04/2024 → Present
    Charles Schwab Bank Ssb
    Thousand Oaks, CA
Previous Registrations
  • 2022-03-07 → 2023-09-07
    Td Ameritrade Investment Management, Llc
    Thousand Oaks, CA
  • 2022-03-07 → 2022-10-14
    Td Ameritrade, Inc.
    Thousand Oaks, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-11-06
  • S66 Uniform Combined State Law Examination
    2018-11-06

View on SEC IAPD

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STATE FARM INVESTMENT MANAGEMENT CORP. · Thousand Oaks, CA
AMERIPRISE FINANCIAL SERVICES, LLC · Thousand Oaks, CA
LPL FINANCIAL LLC · THOUSAND OAKS, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · THOUSAND OAKS, CA
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