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Advisor at CHARLES SCHWAB & CO., INC.
Fort Myers, FL | Estero, FL
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 | Jan 6, 2025 | n/a | yes | Fort Myers, FL|Estero, FL | Current employment |
| Namcoa | Mixed wealth | Oct 15, 2020 | Dec 12, 2024 | no | MOORESVILLE, NC|Estero, FL | Previous registration |
| CAPITALROCK FINANCIAL, LLC | Former SEC adviser | Jun 26, 2018 | Nov 19, 2020 | no | NAPLES, FL|NAPLES, FL | Previous registration |
| MOORS & CABOT, INC | Bd affiliated wealth | Apr 3, 2017 | May 1, 2018 | no | NAPLES, FL | Previous registration |
| WADDELL & REED | Former SEC adviser | Aug 5, 2011 | Mar 27, 2017 | no | NAPA, CA|CONCORD, CA|CHARLEROI, PA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| Namcoa | CHARLES SCHWAB & CO., INC. | Dec 12, 2024 | Jan 6, 2025 | 25 | Firm change | RIA to ibd |
| CAPITALROCK FINANCIAL, LLC | Namcoa | Nov 19, 2020 | Oct 15, 2020 | -35 | Firm change after gap | RIA to RIA |
| MOORS & CABOT, INC | CAPITALROCK FINANCIAL, LLC | May 1, 2018 | Jun 26, 2018 | 56 | Firm change | Other |
| WADDELL & REED | MOORS & CABOT, INC | Mar 27, 2017 | Apr 3, 2017 | 7 | Firm change | Other |