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Gregory Joseph Morone

Charles Schwab & Co., Inc.

Phoenix, AZ

Prewitt, NM

CRD 3242839

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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
NM RA APPROVED 2024-07-29
AZ RA APPROVED 2023-05-26
CA RA APPROVED 2008-10-07
  • NM RA
    APPROVED
    Since 2024-07-29
  • AZ RA
    APPROVED
    Since 2023-05-26
  • CA RA
    APPROVED
    Since 2008-10-07

Branch Locations

4750 E Francisco, Phoenix, AZ 85044 • United States

Prewitt, NM • 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. Prewitt NM 09/2008 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-08-06
S63 Uniform Securities Agent State Law Examination 1999-12-08
  • S65 Uniform Investment Adviser Law Examination
    2007-08-06
  • S63 Uniform Securities Agent State Law Examination
    1999-12-08
Other Names
  • Gregory J Morone

View on SEC IAPD

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