DFX Intelligence
Data Factory
Reading the graph
Reading the graph
Advisor at CHARLES SCHWAB & CO., INC.
Las Vegas, NV
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| CHARLES SCHWAB & CO., INC. | National bd RIA | Aug 21, 2023 | n/a | yes | Las Vegas, NV | Current employment |
| TD AMERITRADE INVESTMENT MANAGEMENT, LLC | Former SEC adviser | Dec 22, 2014 | Sep 7, 2023 | no | LAS VEGAS, NV | Previous registration |
| TD AMERITRADE, INC. | Former SEC adviser | Dec 22, 2014 | Oct 14, 2022 | no | LAS VEGAS, NV | Previous registration |
| NEW ENGLAND SECURITIES CORPORATION | Former SEC adviser | Sep 13, 2012 | Dec 8, 2014 | no | LAS VEGAS, NV|LAS VEGAS, NV | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| TD AMERITRADE INVESTMENT MANAGEMENT, LLC | CHARLES SCHWAB & CO., INC. | Sep 7, 2023 | Aug 21, 2023 | -17 | Bulk transfer | RIA to ibd |
| TD AMERITRADE, INC. | TD AMERITRADE INVESTMENT MANAGEMENT, LLC | Oct 14, 2022 | Dec 22, 2014 | -2,853 | Bulk transfer | Other |
| NEW ENGLAND SECURITIES CORPORATION | TD AMERITRADE, INC. | Dec 8, 2014 | Dec 22, 2014 | 14 | Firm change | Other |