Individual Firm
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AMY CHI-FAN PENG
CRD#: 5292851
IA
B
CHARLES SCHWAB & CO., INC.CRD#: 5393 680 East Colorado Blvd
Suite 100
Pasadena, CA 91101
Suite 100
Pasadena, CA 91101
0
Disclosures
16
Years of Experience
View By:
State Registrations
B
Arizona 1/9/2022
B
Massachusetts 1/9/2022
IA
California 5/17/2010
B
Nevada 5/18/2024
B
California 5/24/2010
B
New Jersey 1/9/2022
B
Colorado 1/9/2022
B
New Mexico 1/9/2022
B
Connecticut 1/9/2022
B
New York 1/9/2022
B
Florida 1/9/2022
B
Ohio 1/10/2022
B
Hawaii 1/9/2022
B
Oregon 1/9/2022
B
Idaho 1/9/2022
B
Tennessee 1/9/2022
B
Illinois 1/9/2022
B
Texas 1/9/2022
B
Kansas 1/9/2022
B
Virginia 1/9/2022
B
Maryland 1/9/2022
B
Washington 1/9/2022
SRO Registrations
B
B
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IA
Registered with this firm since 5/17/2010
B
Registered with this firm since 5/24/2010
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 07/01/2022 - 05/19/2024 | Pasadena, CA | |
IA | 07/01/2022 - 10/14/2022 | Pasadena, CA | |
IA | 01/21/2009 - 07/22/2009 | SAN FRANCISCO, CA | |
B | 09/22/2008 - 07/22/2009 | SAN FRANCISCO, CA | |
IA | 08/08/2008 - 10/15/2008 | SAN FRANCISCO, CA | |
B | 08/08/2008 - 09/22/2008 | SAN FRANCISCO, CA | |
B | 12/14/2007 - 08/11/2008 | LOS ANGELES, CA |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.