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Mason Richard

Charles Schwab & Co., Inc.

Austin, TX

CRD 7875067

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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
TX RA APPROVED 2025-09-29
  • TX RA
    APPROVED
    Since 2025-09-29

Branch Locations

11800 Schwab Way, Austin, TX 78758 • 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 Bank Westlake TX 05/2026 Present
Grailed New York NY 03/2020 02/2021
Neiman Marcus Group Dallas TX 10/2015 10/2016
138M Llc Dallas TX 12/2016 Present
Full Time Education San Marcos TX 08/2013 03/2017
Charles Schwab & Co., Inc Westlake TX 04/2024 Present
  • 05/2026 → Present
    Charles Schwab Bank
    Westlake, TX
  • 03/2020 → 02/2021
    Grailed
    New York, NY
  • 10/2015 → 10/2016
    Neiman Marcus Group
    Dallas, TX
  • 12/2016 → Present
    138M Llc
    Dallas, TX
  • 08/2013 → 03/2017
    Full Time Education
    San Marcos, TX
  • 04/2024 → Present
    Charles Schwab & Co., Inc
    Westlake, TX
Other Businesses

1) 138M LLC|Investment Related: No|Retail|Owner|12/1/2017|Less than 20 hour/month - 0 during trading hours|Arbitrage business, small leather goods ecommerce sales. I am liquidating all inventory, currently less than 100 items. No financial services or investment related responsibilities.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-09-29
S63 Uniform Securities Agent State Law Examination 2024-08-22
  • S66 Uniform Combined State Law Examination
    2025-09-29
  • S63 Uniform Securities Agent State Law Examination
    2024-08-22

View on SEC IAPD

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