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Advisor at CHARLES SCHWAB & CO., INC.
Omaha, NE
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 | Oct 5, 2022 | n/a | yes | Omaha, NE | Current employment |
| TD AMERITRADE INVESTMENT MANAGEMENT, LLC | Former SEC adviser | Dec 18, 2009 | Feb 22, 2021 | no | OMAHA, NE|OMAHA, NE|OMAHA, NE | Previous registration |
| TD AMERITRADE, INC. | Former SEC adviser | Dec 18, 2009 | Oct 14, 2022 | no | Omaha, NE|OMAHA, NE|OMAHA, NE | Previous registration |
| LPL FINANCIAL LLC | Bd affiliated wealth | Jun 18, 2004 | Jan 7, 2005 | no | LINCOLN, NE | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| TD AMERITRADE, INC. | CHARLES SCHWAB & CO., INC. | Oct 14, 2022 | Oct 5, 2022 | -9 | Channel change | Other |
| TD AMERITRADE INVESTMENT MANAGEMENT, LLC | TD AMERITRADE, INC. | Feb 22, 2021 | Dec 18, 2009 | -4,084 | Bulk transfer | Other |
| LPL FINANCIAL LLC | TD AMERITRADE INVESTMENT MANAGEMENT, LLC | Jan 7, 2005 | Dec 18, 2009 | 1,806 | Firm change after gap | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 7870:5393:NE:2022-10-14 | Oct 14, 2022 | Oct 5, 2022 | OMAHA, NE | Firm change |