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Detailed Report
CHRISTINA RUTH BROWN
CHRISTINA R BROWN, CHRISTI SCHOTT, CHRISTINA RUTH SCHOTT
CRD#: 4170058
IA
Investment Adviser
B
Broker
CHARLES SCHWAB & CO., INC.CRD#: 5393 9800 Schwab Way
Lone Tree, CO 80124
Registration History
199820002002200420062008201020122014201620182020202220242026IACHARLES SCHWAB & CO., INC. (CRD# 5393)2004 - Present (20 years)BCHARLES SCHWAB & CO., INC. (CRD# 5393)2000 - Present (24 years)
Disclosure(s)
View By:
4/17/1997
Criminal
Final Disposition
License(s)

State Registrations

B
Alaska 5/13/2011
B
Nebraska 1/30/2018
B
Arizona 10/25/2000
B
Nevada 5/10/2013
B
Arkansas 2/22/2016
B
New Jersey 11/1/2018
B
California 11/1/2000
B
New York 3/6/2013
B
Colorado 11/1/2000
B
North Carolina 1/10/2019
IA
Colorado 6/10/2004
B
Ohio 4/8/2013
B
Connecticut 12/12/2016
B
Oklahoma 5/24/2011
B
District of Columbia 7/19/2016
B
Oregon 5/13/2011
B
Florida 11/3/2000
B
Pennsylvania 7/20/2016
B
Georgia 9/1/2016
B
Puerto Rico 1/13/2020
B
Hawaii 1/2/2013
B
South Carolina 10/26/2018
B
Idaho 11/1/2022
B
Tennessee 6/28/2016
B
Indiana 3/1/2013
B
Texas 6/22/2016
B
Kansas 5/16/2011
B
Utah 5/16/2011
B
Michigan 1/29/2014
B
Virginia 1/30/2013
B
Minnesota 12/27/2016
B
Washington 9/29/2008
B
Montana 1/19/2023
B
Wisconsin 5/13/2014

SRO Registrations

B
 FINRA
B
 Nasdaq Stock Market

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
CHARLES SCHWAB & CO., INC. (CRD#:5393)
9800 Schwab Way, Lone Tree, CO 80124
Registered with this firm since 6/10/2004
B
CHARLES SCHWAB & CO., INC. (CRD#:5393)
9800 Schwab Way, Lone Tree, CO 80124
Registered with this firm since 10/25/2000
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.