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Detailed Report
NICOLE EILEEN CALABRESE
NICOLE EILEEN OFCHARSKY
CRD#: 5775394
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Investment Adviser
CHARLES SCHWAB INVESTMENT MANAGEMENT, INCCRD#: 106753 54 Mall Road
Burlington, MA 01803-4556
Registration History
201020122014201620182020202220242026IACHARLES SCHWAB INVESTMENT MANA... (CRD# 106753)2020 - Present (4 years)IACHARLES SCHWAB INVESTMENT ADVI... (CRD# 151739)2018 - 2020 (2 years)IATHOMASPARTNERS, INC. (CRD# 104966)2017 - 2018 (<1 year)IAWINDHAVEN INVESTMENT MANAGEMEN... (CRD# 155138)2010 - 2018 (7 years)IAWINDWARD INVESTMENT MANAGEMENT INC (CRD# 109405)2010 - 2010 (<1 year)
License(s)

State Registrations

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Massachusetts 11/9/2020
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Texas 9/22/2020
Current Registration(s)
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CHARLES SCHWAB INVESTMENT MANAGEMENT, INC (CRD#:106753)
54 Mall Road, Burlington, MA 01803-4556
Registered with this firm since 9/22/2020
Previous Registration(s)
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 02/16/2018 - 11/09/2020 CHARLES SCHWAB INVESTMENT ADVISORY, INC (CRD#:151739) Boston, MA
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 06/26/2017 - 03/30/2018 THOMASPARTNERS, INC. (CRD#:104966) Boston, MA
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 11/10/2010 - 03/30/2018 WINDHAVEN INVESTMENT MANAGEMENT, INC. (CRD#:155138) BOSTON, MA
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 06/07/2010 - 11/18/2010 WINDWARD INVESTMENT MANAGEMENT INC (CRD#:109405) BOSTON, MA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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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.
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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.