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Troy Paul Prochazka

Charles Schwab & Co., Inc.

Mount Sinai, NY

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Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
ID RA APPROVED 2025-02-24
NY RA APPROVED 2022-08-22
  • ID RA
    APPROVED
    Since 2025-02-24
  • NY RA
    APPROVED
    Since 2022-08-22

Branch Locations

271 Route 25A Suite 5, Mount Sinai, NY 11766 • 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
Fidelity Brokerage Services Llc Lake Grove NY 07/2013 10/2020
Fidelity Personal And Workplace Advisors Boston MA 07/2018 10/2020
Fisher Investments Camas WA 11/2020 11/2021
Charles Schwab & Co., Inc. Mount Sinai NY 08/2022 Present
Unemployed Shoreham NY 11/2021 08/2022
  • 07/2013 → 10/2020
    Fidelity Brokerage Services Llc
    Lake Grove, NY
  • 07/2018 → 10/2020
    Fidelity Personal And Workplace Advisors
    Boston, MA
  • 11/2020 → 11/2021
    Fisher Investments
    Camas, WA
  • 08/2022 → Present
    Charles Schwab & Co., Inc.
    Mount Sinai, NY
  • 11/2021 → 08/2022
    Unemployed
    Shoreham, NY
Previous Registrations
  • 2020-11-20 → 2021-12-07
    Fisher Investments
    Shoreham, NY
    Plano, TX
  • 2018-07-13 → 2020-11-03
    Fidelity Personal And Workplace Advisors
    Boston, MA
  • 2015-07-22 → 2018-07-13
    Strategic Advisers Llc
    Lake Grove, NY
  • 2009-04-13 → 2013-07-16
    Td Ameritrade, Inc.
    Lake Grove, NY
    Huntington Station, NY
  • 2009-04-13 → 2013-07-16
    Td Ameritrade Investment Management, Llc
    Smithtown, NY
    Melville, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-04-09
S63 Uniform Securities Agent State Law Examination 1999-11-29
S65 Uniform Investment Adviser Law Examination 1999-04-30
  • S66 Uniform Combined State Law Examination
    2009-04-09
  • S63 Uniform Securities Agent State Law Examination
    1999-11-29
  • S65 Uniform Investment Adviser Law Examination
    1999-04-30

View on SEC IAPD

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James J Quinlivan
JARRED GIORDANO
ANTHONY CHIARELLI
Laura B. Hoffman
SCOTT NICHOLAS ZAMBELLI
MICHAEL PAUL BUTENSKY
FREDERICK Joseph AZZURRO
Amanda Michele Gonzalez

Other Offices

J.P. MORGAN SECURITIES LLC · MOUNT SINAI, NY
OSAIC WEALTH, INC. · PORT JEFFERSON STATION, NY
AMERIPRISE FINANCIAL SERVICES, LLC · MOUNT SINAI, NY
KESTRA ADVISORY SERVICES, LLC · PORT JEFFERSON, NY
KESTRA ADVISORY SERVICES, LLC · PORT JEFFERSON STN, NY
O'HARA WEALTH MANAGEMENT INC · PORT JEFFERSON STATION, NY
OSAIC WEALTH, INC. · Mt Sinai, NY
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · PORT JEFFERSON, NY

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