Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
COREY DAVID UMEDA
DAVID A UMEDA, DAVID AARON UMEDA
CRD#: 4990953
IA
Investment Adviser
B
Broker
CHARLES SCHWAB & CO., INC.CRD#: 5393 9800 Schwab Way
Lone Tree, CO 80124
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2005 - 2008 (2 years)2 FIRMS2021 - 2024 (2 years)2 FIRMS2008 - Present (16 years)
Disclosure(s)
View By:
1/11/2001
Criminal
Final Disposition
License(s)

State Registrations

B
Alabama 7/21/2008
B
Montana 7/18/2008
B
Alaska 7/21/2008
B
Nebraska 7/23/2008
B
Arizona 7/22/2008
B
Nevada 5/20/2024
B
Arkansas 7/22/2008
B
New Hampshire 7/18/2008
B
California 7/18/2008
B
New Jersey 7/18/2008
IA
Colorado 6/20/2008
B
New Mexico 7/25/2008
B
Colorado 7/21/2008
B
New York 7/18/2008
B
Connecticut 7/21/2008
B
North Carolina 7/17/2008
B
Delaware 7/21/2008
B
North Dakota 7/18/2008
B
District of Columbia 7/24/2008
B
Ohio 7/21/2008
B
Florida 7/18/2008
B
Oklahoma 7/22/2008
B
Georgia 7/18/2008
B
Oregon 7/18/2008
B
Hawaii 7/21/2008
B
Pennsylvania 7/18/2008
B
Idaho 7/22/2008
B
Puerto Rico 8/4/2008
B
Illinois 7/18/2008
B
Rhode Island 7/18/2008
B
Indiana 7/28/2008
B
South Carolina 7/18/2008
B
Iowa 7/18/2008
B
South Dakota 7/22/2008
B
Kansas 7/22/2008
B
Tennessee 7/18/2008
B
Kentucky 7/18/2008
B
Texas 7/23/2008
B
Louisiana 7/18/2008
B
Utah 7/17/2008
B
Maine 7/18/2008
B
Vermont 7/21/2008
B
Maryland 7/29/2008
B
Virgin Islands 7/23/2008
B
Massachusetts 7/23/2008
B
Virginia 7/18/2008
B
Michigan 7/23/2008
B
Washington 7/17/2008
B
Minnesota 7/22/2008
B
West Virginia 7/21/2008
B
Mississippi 7/30/2008
B
Wisconsin 7/24/2008
B
Missouri 7/18/2008
B
Wyoming 7/17/2008

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 6/20/2008
B
CHARLES SCHWAB & CO., INC. (CRD#:5393)
9800 Schwab Way, Lone Tree, CO 80124
Registered with this firm since 7/16/2008
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 12/06/2021 - 10/21/2024 TD AMERITRADE CLEARING, INC. (CRD#:5633) OMAHA, NE
B
 12/06/2021 - 05/19/2024 TD AMERITRADE, INC. (CRD#:7870) OMAHA, NE
IA
 11/01/2005 - 06/03/2008 SCOTT & STRINGFELLOW, INC. (CRD#:6255) WILMINGTON, NC
B
 09/20/2005 - 06/03/2008 SCOTT & STRINGFELLOW, INC. (CRD#:6255) WILMINGTON, NC
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.