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Charles Schwab & Co., Inc. CRD 5393
955,800 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
425 Market Street 17Th Floor, San Francisco, CA 94105 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2019-01-02 |
| KY | RA | APPROVED | 2005-11-21 |
Branch Locations
4084 Finn Way Suite 150, Lexington, KY 40517 • United States
295 N. Hubbards Lane Suite 101, Louisville, KY 40207-8206 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Charles Schwab & Co., Inc. | Lexington | KY | 11/2005 | Present |
| Charles Schwab Bank, Ssb | Lexington | KY | 11/2005 | Present |
ChesterHeights LLC|Investment Related:No|Agriculture/Forestry/Fishing|Co-Owner|2025-01-15|HoursPerMonth:Less than 20|HoursSpentduringSecurityTrading:0|My mother specifically has been involved in a passive manner in the commercial breeding and selling of thoroughbreds for 30yrs+. Our accountant recommended establishing a Family Partnership LLC between my mother and myself for tax purposes.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-10-16 |
| S63 | Uniform Securities Agent State Law Examination | 1998-10-09 |
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