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Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2021-01-15
  • CT RA
    APPROVED
    Since 2021-01-15

Branch Locations

94 Derby Street Suite 203, Hingham, MA 02043 • United States

127 Congress Street Floor 01, Boston, MA 02110-2511 • 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
Td Waterhouse Investor Services Inc San Diego CA 09/2005 12/2020
Charles Schwab & Co., Inc. Hingham MA 12/2020 Present
Charles Schwab Bank, Ssb Hingham MA 12/2020 Present
  • 09/2005 → 12/2020
    Td Waterhouse Investor Services Inc
    San Diego, CA
  • 12/2020 → Present
    Hingham, MA
  • 12/2020 → Present
    Charles Schwab Bank, Ssb
    Hingham, MA
Previous Registrations
  • 2010-09-01 → 2020-12-31
    Td Ameritrade, Inc.
    Boston, MA
    San Diego, CA
    Westlake, TX
    San Diego, CA
  • 2010-09-01 → 2020-12-31
    Td Ameritrade Investment Management, Llc
    Quincy, MA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-08-27
S63 Uniform Securities Agent State Law Examination 1999-07-19
  • S66 Uniform Combined State Law Examination
    2010-08-27
  • S63 Uniform Securities Agent State Law Examination
    1999-07-19

View on SEC IAPD

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