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Advisor at CHARLES SCHWAB & CO., INC.
Phoenix, AZ
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 | Mar 28, 2019 | n/a | yes | Phoenix, AZ | Current employment |
| FIRST ALLIED ADVISORY SERVICES, INC. | Former SEC adviser | May 4, 2017 | Feb 27, 2019 | no | PHOENIX, AZ | Previous registration |
| RG CAPITAL | Former SEC adviser | Apr 6, 2017 | Feb 28, 2019 | no | SCOTTSDALE, AZ | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| RG CAPITAL | FIRST ALLIED ADVISORY SERVICES, INC. | Feb 28, 2019 | May 4, 2017 | -665 | Firm change after gap | Other |
| FIRST ALLIED ADVISORY SERVICES, INC. | CHARLES SCHWAB & CO., INC. | Feb 27, 2019 | Mar 28, 2019 | 29 | Firm change | Ibd to ibd |