Individual Firm
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CHRISTOPHER LAURENCE SWAINE
CRD#: 5469134
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
California 11/2/2023
B
Oregon 6/25/2024
IA
California 11/3/2023
B
Pennsylvania 2/8/2025
B
Colorado 4/11/2024
IA
Pennsylvania 2/10/2025
B
Florida 6/25/2024
B
Tennessee 11/19/2024
B
Illinois 3/4/2025
B
Texas 4/11/2024
IA
Illinois 3/14/2025
IA
Texas 4/11/2024
B
Nevada 6/25/2024
B
Washington 3/26/2024
SRO Registrations
B
B
View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 11/3/2023
B
Registered with this firm since 11/2/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/05/2023 - 11/01/2023 | LOS ANGELES, CA | |
B | 03/23/2023 - 11/01/2023 | LOS ANGELES, CA | |
IA | 03/13/2019 - 09/05/2023 | LOS ANGELES, CA | |
B | 03/13/2019 - 09/05/2023 | LOS ANGELES, CA | |
B | 04/11/2018 - 11/12/2018 | BROADVIEW HEIGHTS, OH | |
IA | 03/30/2018 - 11/08/2018 | BEVERLY HILLS, CA | |
IA | 03/08/2017 - 03/05/2018 | LOS ANGELES, CA | |
IA | 01/06/2016 - 02/23/2017 | Los Angeles, CA | |
B | 01/06/2016 - 02/23/2017 | LOS ANGELES, CA | |
IA | 08/06/2012 - 01/06/2016 | CHICAGO, IL | |
IA | 08/06/2012 - 01/06/2016 | CHICAGO, IL | |
B | 08/03/2012 - 01/06/2016 | CHICAGO, IL | |
B | 01/30/2012 - 07/23/2012 | NAPERVILLE, IL | |
IA | 04/29/2009 - 01/05/2012 | CHICAGO, IL | |
B | 07/23/2008 - 01/05/2012 | CHICAGO, IL |
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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.