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Advisor at CHARLES SCHWAB & CO., INC.
Houston, 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 19, 2021 | n/a | yes | Houston, TX | Current employment |
| TD AMERITRADE, INC. | Former SEC adviser | Jul 1, 2022 | Oct 14, 2022 | no | HOUSTON, TX | Previous registration |
| TD AMERITRADE, INC. | Former SEC adviser | Feb 27, 2018 | Jan 20, 2021 | no | Sugarland, TX|PEARLAND, TX|Sugarland, TX | Previous registration |
| TD AMERITRADE INVESTMENT MANAGEMENT, LLC | Former SEC adviser | Feb 26, 2018 | Jan 20, 2021 | no | OMAHA, NE|PEARLAND, TX|SugarLand, TX | Previous registration |
| SCOTTRADE INVESTMENT MANAGEMENT | Former SEC adviser | Feb 16, 2017 | Feb 26, 2018 | no | SAINT LOUIS, MO | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| TD AMERITRADE, INC. | n/a | Oct 14, 2022 | n/a | n/a | Departure no registered destination | Departure |
| TD AMERITRADE INVESTMENT MANAGEMENT, LLC | TD AMERITRADE, INC. | Jan 20, 2021 | Feb 27, 2018 | -1,058 | Channel change | Other |
| TD AMERITRADE, INC. | CHARLES SCHWAB & CO., INC. | Jan 20, 2021 | Jan 19, 2021 | -1 | Channel change | Other |
| SCOTTRADE INVESTMENT MANAGEMENT | TD AMERITRADE INVESTMENT MANAGEMENT, LLC | Feb 26, 2018 | Feb 26, 2018 | 0 | Bulk transfer | Ibd to RIA |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 111514:7870:TX:2021-01-20 | Jan 20, 2021 | Feb 27, 2018 | SUGARLAND, TX | Firm change after gap |