Individual Firm
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Sam Richard Macaluso
Rick Macaluso
CRD#: 720381
IA
B
CHARLES SCHWAB & CO., INC.CRD#: 5393 2375 East 116th Street
Carmel, IN 46032-3281
Carmel, IN 46032-3281
View By:
1/27/2012
Customer Dispute
Settled
State Registrations
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Alabama 4/14/2022
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Missouri 4/14/2022
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Alaska 4/14/2022
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Montana 4/15/2022
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Arizona 4/14/2022
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Nebraska 4/14/2022
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Arkansas 4/14/2022
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Nevada 4/14/2022
B
California 4/14/2022
B
New Hampshire 4/14/2022
B
Colorado 4/14/2022
B
New Jersey 4/14/2022
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Connecticut 4/14/2022
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New Mexico 4/14/2022
B
Delaware 4/14/2022
B
New York 4/14/2022
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District of Columbia 4/14/2022
B
North Carolina 4/14/2022
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Florida 4/14/2022
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North Dakota 4/14/2022
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Georgia 4/14/2022
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Ohio 4/15/2022
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Hawaii 4/14/2022
B
Oklahoma 4/14/2022
B
Idaho 4/14/2022
B
Oregon 4/14/2022
B
Illinois 4/15/2022
B
Pennsylvania 4/14/2022
B
Indiana 4/14/2022
B
Rhode Island 4/14/2022
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Indiana 4/14/2022
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South Carolina 4/14/2022
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Iowa 4/14/2022
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South Dakota 4/14/2022
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Kansas 4/14/2022
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Tennessee 4/14/2022
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Kentucky 4/14/2022
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Texas 4/14/2022
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Louisiana 4/14/2022
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Utah 4/14/2022
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Maine 4/14/2022
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Vermont 4/14/2022
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Maryland 4/14/2022
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Virginia 4/14/2022
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Massachusetts 4/14/2022
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Washington 4/14/2022
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Michigan 4/14/2022
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West Virginia 4/14/2022
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Minnesota 4/14/2022
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Wisconsin 4/14/2022
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Mississippi 4/14/2022
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Wyoming 4/14/2022
SRO Registrations
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Learn about permitted activities of registered representatives
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IA
Registered with this firm since 4/14/2022
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Registered with this firm since 4/14/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/05/2020 - 12/03/2021 | INDIANAPOLIS, IN | |
B | 06/05/2020 - 12/03/2021 | INDIANAPOLIS, IN | |
IA | 07/30/2007 - 01/07/2020 | INDIANAPOLIS, IN | |
B | 10/26/2001 - 01/07/2020 | INDIANAPOLIS, IN | |
B | 02/10/1988 - 10/26/2001 | ST. LOUIS, MO | |
B | 10/19/1983 - 02/22/1988 | ||
B | 12/11/1980 - 07/11/1983 |
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.
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