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Advisor at CHARLES SCHWAB & CO., INC.
West Hartford, CT
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 | Apr 6, 2023 | n/a | yes | West Hartford, CT | Current employment |
| VOYA FINANCIAL ADVISORS, INC. | Bd affiliated wealth | Jan 15, 2020 | Mar 9, 2023 | no | WINDSOR, CT | Previous registration |
| FIDELITY PERSONAL AND WORKPLACE ADVISORS | Former SEC adviser | Jul 13, 2018 | Oct 8, 2019 | no | BOSTON, MA | Previous registration |
| STRATEGIC ADVISERS LLC | National bd RIA | Nov 28, 2016 | Jul 13, 2018 | no | WEST HARTFORD, CT | Previous registration |
| TD AMERITRADE INVESTMENT MANAGEMENT, LLC | Former SEC adviser | Apr 25, 2006 | Apr 2, 2015 | no | PIKESVILLE, MD|LUTHERVILLE, MD|BOSTON, MA|BOSTON, MA|BOSTON, MA | Previous registration |
| TD AMERITRADE, INC. | Former SEC adviser | Feb 9, 2005 | Apr 2, 2015 | no | PIKESVILLE, MD|Towson, MD|BOSTON, MA|BOSTON, MA|BOSTON, MA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| VOYA FINANCIAL ADVISORS, INC. | CHARLES SCHWAB & CO., INC. | Mar 9, 2023 | Apr 6, 2023 | 28 | Firm change | Ibd to ibd |
| FIDELITY PERSONAL AND WORKPLACE ADVISORS | VOYA FINANCIAL ADVISORS, INC. | Oct 8, 2019 | Jan 15, 2020 | 99 | Firm change | Ibd to ibd |
| STRATEGIC ADVISERS LLC | FIDELITY PERSONAL AND WORKPLACE ADVISORS | Jul 13, 2018 | Jul 13, 2018 | 0 | Bulk transfer | Ibd to new firm |
| TD AMERITRADE, INC. | TD AMERITRADE INVESTMENT MANAGEMENT, LLC | Apr 2, 2015 | Apr 25, 2006 | -3,264 | Channel change | Other |
| TD AMERITRADE INVESTMENT MANAGEMENT, LLC | STRATEGIC ADVISERS LLC | Apr 2, 2015 | Nov 28, 2016 | 606 | Firm change after gap | Other |