Ralph Moreno

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
CA	RA	APPROVED	2019-03-09

AZ RA
APPROVED

Since 2023-06-05
CA RA
APPROVED

Since 2019-03-09

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
Charles Schwab & Co., Inc.	Phoenix	AZ	04/2018	Present
First Convenience Bank	Scottsdale	AZ	02/2015	03/2018
Charles Schwab Trust Bank	Phoenix	AZ	05/2020	Present

04/2018 → Present

Charles Schwab & Co., Inc.

Phoenix, AZ
02/2015 → 03/2018

First Convenience Bank

Scottsdale, AZ
05/2020 → Present

Charles Schwab Trust Bank

Phoenix, AZ

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2019-03-08

S66 Uniform Combined State Law Examination

2019-03-08

View on SEC IAPD

Employer firm

Current Employers

Charles Schwab & Co., Inc.

Disclosures

Employment History

Exams

Nearby Firms

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