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Richard Low

Charles Schwab & Co., Inc.

New York City, NY

CRD 1749470

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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
NY RA APPROVED 2022-01-26
  • NY RA
    APPROVED
    Since 2022-01-26

Branch Locations

100 Broadway, New York City, NY 10005 • 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 New York NY 03/2006 09/2016
Unemployed New York NY 10/2016 07/2017
Td Ameritrade New York NY 07/2017 12/2022
Charles Schwab & Co., Inc. New York NY 12/2022 Present
Charles Schwab Bank Ssb New York NY 05/2025 Present
  • 03/2006 → 09/2016
    Td Ameritrade
    New York, NY
  • 10/2016 → 07/2017
    Unemployed
    New York, NY
  • 07/2017 → 12/2022
    Td Ameritrade
    New York, NY
  • 12/2022 → Present
    Charles Schwab & Co., Inc.
    New York, NY
  • 05/2025 → Present
    Charles Schwab Bank Ssb
    New York, NY
Previous Registrations
  • 2017-07-20 → 2023-09-07
    Td Ameritrade Investment Management, Llc
    New York, NY
  • 2017-07-20 → 2022-10-14
    Td Ameritrade, Inc.
    New York, NY
  • 2006-06-06 → 2016-10-04
    Td Ameritrade, Inc.
    Brooklyn, NY
    New York, NY
    New York, NY
  • 2006-06-06 → 2016-10-04
    Td Ameritrade Investment Management, Llc
    Brooklyn, NY
    New York, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-06-05
S63 Uniform Securities Agent State Law Examination 1987-11-10
  • S66 Uniform Combined State Law Examination
    2006-06-05
  • S63 Uniform Securities Agent State Law Examination
    1987-11-10
Other Names
  • Richard Low
  • Richard (None) Low

View on SEC IAPD

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