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Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2013 - 2020 (7 years)2 FIRMS2021 - Present (3 years)BCHARLES SCHWAB & CO., INC. (CRD# 5393)1997 - 2004 (7 years)
Disclosure(s)
View By:
2/23/2015
Customer Dispute
Settled
License(s)

State Registrations

B
Illinois 8/5/2024

B
Minnesota 11/4/2021

IA
Illinois 8/5/2024

SRO Registrations

B
BOX Exchange LLC

B
Cboe BYX Exchange, Inc.

B
Cboe BZX Exchange, Inc.

B
Cboe C2 Exchange, Inc.

B
Cboe EDGA Exchange, Inc.

B
Cboe EDGX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
Investors' Exchange LLC

B
Long-Term Stock Exchange, Inc.

B
MEMX LLC

B
MIAX PEARL, LLC

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
NYSE National, Inc.

B
Nasdaq BX, Inc.

B
Nasdaq GEMX, LLC

B
Nasdaq ISE, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
RBC CAPITAL MARKETS, LLC (CRD#:31194)
Chicago, IL
111 S WACKER DRIVE SUITE 3200, CHICAGO, IL 60606
Registered with this firm since 11/4/2021

B
RBC CAPITAL MARKETS, LLC (CRD#:31194)
Chicago, IL
111 S WACKER DRIVE SUITE 3200, CHICAGO, IL 60606
Registered with this firm since 11/4/2021

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
04/12/2013 - 11/13/2020 ADVICE AND PLANNING SERVICES (CRD#:20472) BLOOMINGTON, MN
B
04/05/2013 - 11/13/2020 TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (CRD#:20472) BLOOMINGTON, MN
B
10/06/1997 - 10/05/2004 CHARLES SCHWAB & CO., INC. (CRD#:5393) WESTLAKE, TX
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.