DFX Intelligence
Data Factory
Reading the graph
Reading the graph
Advisor at CHARLES SCHWAB & CO., INC.
Omaha, NE
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 | Sep 30, 2022 | n/a | yes | Omaha, NE | Current employment |
| TD AMERITRADE INVESTMENT MANAGEMENT, LLC | Former SEC adviser | Jun 29, 2018 | Jan 21, 2021 | no | Omaha, NE|OMAHA, NE | Previous registration |
| TD AMERITRADE, INC. | Former SEC adviser | Jun 28, 2018 | Oct 14, 2022 | no | OMAHA, NE | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| TD AMERITRADE, INC. | TD AMERITRADE INVESTMENT MANAGEMENT, LLC | Oct 14, 2022 | Jun 29, 2018 | -1,568 | Bulk transfer | Other |
| TD AMERITRADE INVESTMENT MANAGEMENT, LLC | CHARLES SCHWAB & CO., INC. | Jan 21, 2021 | Sep 30, 2022 | 617 | Channel change | RIA to ibd |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 111514:5393:NE:2021-01-21 | Jan 21, 2021 | Sep 30, 2022 | OMAHA, NE | Firm change after gap |