Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
ESTEVAN DOMINGO TROCHE
Estevan DOMINGO Troche, Estevan Troche
CRD#: 6931709
IA
Investment Adviser
B
Broker
CHARLES SCHWAB & CO., INC.CRD#: 5393 3000 Schwab Way
Westlake, TX 76262
Registration History
201920202021202220232024202520262 FIRMS2020 - Present (4 years)BTD AMERITRADE, INC. (CRD# 7870)2019 - 2020 (<1 year)
License(s)

State Registrations

B
Alabama 10/5/2020
B
Massachusetts 10/5/2020
B
Alaska 10/5/2020
B
Michigan 10/5/2020
B
Arizona 10/5/2020
B
Minnesota 10/5/2020
B
Arkansas 6/25/2024
B
Mississippi 3/26/2024
B
California 10/5/2020
B
Nevada 10/5/2020
B
Colorado 10/5/2020
B
New Hampshire 10/5/2020
B
Connecticut 10/5/2020
B
New Mexico 10/5/2020
B
Florida 10/5/2020
B
North Carolina 10/5/2020
B
Georgia 6/25/2024
B
Ohio 10/5/2020
B
Hawaii 10/5/2020
B
Oregon 10/5/2020
B
Idaho 10/5/2020
B
Pennsylvania 10/5/2020
B
Illinois 10/5/2020
B
Tennessee 10/5/2020
B
Indiana 10/5/2020
B
Texas 10/5/2020
B
Iowa 10/5/2020
IA
Texas 12/7/2020
B
Kansas 10/5/2020
B
Vermont 10/5/2020
B
Louisiana 10/5/2020
B
Virginia 10/5/2020
B
Maine 10/5/2020
B
Washington 10/5/2020
B
Maryland 10/5/2020
B
Wisconsin 10/5/2020

SRO Registrations

B
 FINRA
B
 Nasdaq Stock Market

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CHARLES SCHWAB & CO., INC. (CRD#:5393)
3000 Schwab Way, Westlake, TX 76262
Registered with this firm since 12/7/2020
B
CHARLES SCHWAB & CO., INC. (CRD#:5393)
3000 Schwab Way, Westlake, TX 76262
Registered with this firm since 10/5/2020
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 06/14/2019 - 05/12/2020 TD AMERITRADE, INC. (CRD#:7870) Southlake, TX
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.