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Richard Francis Dunn

Charles Schwab & Co., Inc.

Newport Beach, CA

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Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2022-01-25
  • CA RA
    APPROVED
    Since 2022-01-25

Branch Locations

16 Corporate Plaza Dr, Newport Beach, CA 92660 • 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 Ameritrade, Inc. Beverly Hills CA 05/2014 12/2022
Charles Schwab And Co., Inc. Newport Beach CA 12/2022 Present
Charles Schwab Bank, Ssb Newport Beach CA 11/2023 Present
  • 05/2014 → 12/2022
    Td Ameritrade, Inc.
    Beverly Hills, CA
  • 12/2022 → Present
    Charles Schwab And Co., Inc.
    Newport Beach, CA
  • 11/2023 → Present
    Charles Schwab Bank, Ssb
    Newport Beach, CA
Previous Registrations
  • 2014-10-01 → 2023-09-07
    Td Ameritrade Investment Management, Llc
    Beverly Hills, CA
    Irvine, CA
    Irvine, CA
  • 2014-10-01 → 2022-10-14
    Td Ameritrade, Inc.
    Beverly Hills, CA
    Irvine, CA
    Irvine, CA
    Omaha, NE
  • 1997-07-08 → 2014-05-16
    Charles Schwab & Co., Inc.
    Brea, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-09-30
S63 Uniform Securities Agent State Law Examination 1985-12-20
  • S66 Uniform Combined State Law Examination
    2014-09-30
  • S63 Uniform Securities Agent State Law Examination
    1985-12-20
Other Names
  • Richie Dunn

View on SEC IAPD

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