Individual Firm
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SCOTT WALLACE BALDERAS
CRD#: 5342933
IA
B
SCHWAB WEALTH ADVISORY, INC.CRD#: 159035 San Diego, CA
CHARLES SCHWAB & CO., INC.CRD#: 5393 San Diego, CA
0
Disclosures
16
Years of Experience
View By:
State Registrations
B
Alabama 11/18/2021
B
Nevada 3/1/2023
B
Arizona 3/29/2023
B
New Jersey 11/8/2024
B
California 11/9/2017
B
New York 11/9/2017
IA
California 10/4/2022
B
Ohio 2/7/2024
B
Colorado 3/2/2023
B
Oklahoma 5/1/2024
B
Florida 11/9/2017
B
Oregon 12/15/2022
B
Georgia 2/7/2024
B
Pennsylvania 2/7/2024
B
Hawaii 5/1/2024
B
Tennessee 8/22/2024
B
Illinois 2/8/2023
B
Texas 4/24/2023
B
Iowa 2/7/2024
B
Utah 2/3/2023
B
Massachusetts 2/7/2024
B
Washington 3/28/2019
B
Minnesota 2/7/2024
B
West Virginia 6/5/2018
SRO Registrations
B
B
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IA
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/13/2017 - 10/05/2022 | San Diego, CA | |
IA | 04/11/2011 - 11/03/2017 | NEW YORK, NY | |
B | 03/31/2010 - 11/01/2017 | NEW YORK, NY | |
B | 01/09/2008 - 03/05/2009 | NEW YORK, NY | |
IA | 07/20/2007 - 12/20/2007 | SALT LAKE CITY, UT | |
B | 07/04/2007 - 12/20/2007 | SALT LAKE CITY, UT |
For additional information about investment advisers or broker-dealers, please visit
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.