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Carolyn Ngo
CRD#: 5442405
IA
B
SCHWAB WEALTH ADVISORY, INC.CRD#: 159035 Kirkland, WA
CHARLES SCHWAB & CO., INC.CRD#: 5393 Kirkland, WA
0
Disclosures
17
Years of Experience
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State Registrations
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Alabama 5/23/2020
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Montana 5/23/2020
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Alaska 11/7/2024
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Nevada 5/23/2020
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Arizona 5/23/2020
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New Jersey 5/23/2020
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Arkansas 5/23/2020
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New Mexico 5/23/2020
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California 5/23/2020
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New York 5/23/2020
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Colorado 5/23/2020
B
North Carolina 5/23/2020
B
District of Columbia 5/23/2020
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North Dakota 5/23/2020
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Florida 5/23/2020
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Ohio 5/23/2020
B
Georgia 5/23/2020
B
Oklahoma 5/23/2020
B
Idaho 5/23/2020
B
Oregon 5/23/2020
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Illinois 5/23/2020
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Pennsylvania 5/23/2020
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Indiana 5/23/2020
B
South Carolina 5/23/2020
B
Iowa 5/23/2020
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South Dakota 5/23/2020
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Kansas 5/23/2020
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Tennessee 5/23/2020
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Kentucky 5/23/2020
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Texas 5/23/2020
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Louisiana 5/23/2020
IA
Texas 12/9/2024
B
Maine 5/23/2020
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Utah 5/23/2020
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Maryland 5/23/2020
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Virginia 5/23/2020
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Massachusetts 5/23/2020
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Washington 5/23/2020
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Michigan 5/23/2020
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Washington 2/1/2025
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Minnesota 5/23/2020
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Wisconsin 5/23/2020
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Missouri 5/23/2020
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Wyoming 5/23/2020
SRO Registrations
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IA
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/23/2020 - 12/09/2024 | Bellevue, WA | |
IA | 01/08/2018 - 05/24/2020 | SAN ANTONIO, TX | |
B | 01/30/2008 - 05/24/2020 | SAN ANTONIO, TX | |
IA | 11/20/2013 - 01/08/2018 | Helotes, TX | |
IA | 02/03/2011 - 11/07/2013 | Helotes, TX | |
IA | 03/27/2008 - 02/07/2011 | SAN ANTONIO, TX |
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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.