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Richard J Aleman

Charles Schwab & Co., Inc.

Lone Tree, CO

CRD 3205369

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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

AuthorityCategoryStatusDate
CO RA APPROVED 2018-07-17
  • CO RA
    APPROVED
    Since 2018-07-17

Branch Locations

9800 Schwab Way, Lone Tree, CO 80124 • 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. Lone Tree CO 03/1999 Present
Charles Schwab Bank Lone Tree CO 05/2018 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-07-09
S63 Uniform Securities Agent State Law Examination 1999-09-21
  • S66 Uniform Combined State Law Examination
    2018-07-09
  • S63 Uniform Securities Agent State Law Examination
    1999-09-21
Other Names
  • Richard John Aleman

View on SEC IAPD

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