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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 | Feb 4, 2022 | n/a | yes | Omaha, NE | Current employment |
| TD AMERITRADE INVESTMENT MANAGEMENT, LLC | Former SEC adviser | May 3, 2017 | Sep 7, 2023 | no | Omaha, NE | Previous registration |
| TD AMERITRADE, INC. | Former SEC adviser | May 3, 2017 | Oct 14, 2022 | no | Omaha, NE|Indianapolis, IN|Omaha, NE | Previous registration |
| BANCWEST INVESTMENT SERVICES, INC. (BWIS) | Former SEC adviser | Oct 16, 2014 | May 23, 2016 | no | OMAHA, NE | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| TD AMERITRADE INVESTMENT MANAGEMENT, LLC | CHARLES SCHWAB & CO., INC. | Sep 7, 2023 | Feb 4, 2022 | -580 | Bulk transfer | RIA to ibd |
| TD AMERITRADE, INC. | TD AMERITRADE INVESTMENT MANAGEMENT, LLC | Oct 14, 2022 | May 3, 2017 | -1,990 | Bulk transfer | Other |
| BANCWEST INVESTMENT SERVICES, INC. (BWIS) | TD AMERITRADE, INC. | May 23, 2016 | May 3, 2017 | 345 | Firm change | Other |