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Advisor at CHARLES SCHWAB & CO., INC.
Fort Worth, TX
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 25, 2022 | n/a | yes | Fort Worth, TX | Current employment |
| TD AMERITRADE INVESTMENT MANAGEMENT, LLC | Former SEC adviser | Nov 3, 2015 | Sep 7, 2023 | no | Greenwood Village, CO|Denver, CO|Houston, TX|THE WOODLANDS, TX|Fort Worth, TX | Previous registration |
| TD AMERITRADE, INC. | Former SEC adviser | Nov 3, 2015 | Oct 14, 2022 | no | Denver, CO|Houston, TX|The Woodlands, TX|FORT WORTH, TX | Previous registration |
| AMERIPRISE FINANCIAL SERVICES, LLC | National bd RIA | Jun 28, 2013 | Nov 3, 2015 | no | 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 | Jan 25, 2022 | -590 | Bulk transfer | RIA to ibd |
| TD AMERITRADE, INC. | TD AMERITRADE INVESTMENT MANAGEMENT, LLC | Oct 14, 2022 | Nov 3, 2015 | -2,537 | Bulk transfer | Other |
| AMERIPRISE FINANCIAL SERVICES, LLC | TD AMERITRADE, INC. | Nov 3, 2015 | Nov 3, 2015 | 0 | Firm change | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 6363:7870:NV:2015-11-03 | Nov 3, 2015 | Nov 3, 2015 | LAS VEGAS, NV | Firm change |