DFX Intelligence
Data Factory
Reading the graph
Reading the graph
Advisor at CHARLES SCHWAB & CO., INC.
Westlake, 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 | Nov 6, 2018 | n/a | yes | Westlake, TX | Current employment |
| FIRST COMMAND ADVISORY SERVICES | Bd affiliated wealth | Dec 15, 2015 | Oct 5, 2018 | no | FORT WORTH, TX | Previous registration |
| FIRST COMMAND FINANCIAL PLANNING, INC. | Former SEC adviser | Nov 11, 2015 | Dec 15, 2015 | no | FORT WORTH, TX | Previous registration |
| TD AMERITRADE INVESTMENT MANAGEMENT, LLC | Former SEC adviser | Sep 2, 2014 | Nov 9, 2015 | no | FORT WORTH, TX | Previous registration |
| TD AMERITRADE, INC. | Former SEC adviser | Sep 2, 2014 | Nov 9, 2015 | no | FORT WORTH, TX|Westlake, TX|WestLake, TX | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| FIRST COMMAND ADVISORY SERVICES | CHARLES SCHWAB & CO., INC. | Oct 5, 2018 | Nov 6, 2018 | 32 | Firm change | Ibd to ibd |
| FIRST COMMAND FINANCIAL PLANNING, INC. | FIRST COMMAND ADVISORY SERVICES | Dec 15, 2015 | Dec 15, 2015 | 0 | Bulk transfer | Other |
| TD AMERITRADE INVESTMENT MANAGEMENT, LLC | TD AMERITRADE, INC. | Nov 9, 2015 | Sep 2, 2014 | -433 | Channel change | Other |
| TD AMERITRADE, INC. | FIRST COMMAND FINANCIAL PLANNING, INC. | Nov 9, 2015 | Nov 11, 2015 | 2 | Firm change | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 111514:7870:TX:2015-11-09 | Nov 9, 2015 | Sep 2, 2014 | FORT WORTH, TX | Firm change after gap |