Denise L. Muska
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Denise Lynn Muska, who also goes by Denise Lynn Green, Denise Lynn Lopresti, Denise Lynn Naydenoff, was a registered financial professional .
Denise is a previously registered financial professional and started their career in finance in 1984. Denise had worked at 10 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 6, 2014 - July 31, 2018
CHARLES SCHWAB & CO., INC.
October 10, 2014 - July 31, 2018
CHARLES SCHWAB & CO., INC.
April 10, 2012 - October 15, 2014
CETERA WEALTH SERVICES, LLC
November 5, 2010 - March 7, 2012
CETERA INVESTMENT SERVICES LLC
November 5, 2010 - March 7, 2012
CETERA INVESTMENT SERVICES LLC
April 19, 1999 - November 11, 2010
CETERA WEALTH SERVICES, LLC
March 31, 1998 - November 11, 2010
CETERA WEALTH SERVICES, LLC
January 1, 1997 - March 27, 1998
MUTUAL SERVICE CORPORATION
July 9, 1996 - October 31, 1996
CITICORP INVESTMENT SERVICES
July 28, 1995 - July 15, 1996
WELLS FARGO CLEARING SERVICES, LLC
June 21, 1993 - July 19, 1995
FIRST TRUST PORTFOLIOS L.P.
January 23, 1992 - March 6, 1993
MUTUAL SERVICE CORPORATION
January 3, 1989 - February 6, 1990
GRANADA FINANCIAL SERVICES, INC.
October 30, 1986 - January 21, 1987
AMERIPRISE ADVISOR SERVICES, INC.
October 26, 1984 - November 10, 1986
CLAYTON BROWN & ASSOCIATES, INC.
Primary Firm SEC Registration
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHWAB HOLDINGS, INC. | 100% OWNER | |
| BEATTY, JONATHAN SCOTT | DIRECTOR, MANAGING DIRECTOR AND HEAD OF ADVISOR SERVICES | 2429276 |
| CRAIG, JONATHAN M | PRESIDENT, DIRECTOR, MANAGING DIRECTOR AND HEAD OF INVESTOR SERVICES AND MARKETING | 4144656 |
| HATHI, NEESHA K | MANAGING DIRECTOR HEAD OF WEALTH & ADVICE SOLUTIONS | 2648997 |
| HOWARD, DENNIS WILLARD | MANAGING DIRECTOR AND CHIEF INFORMATION OFFICER | 6403083 |
| NICHOLS, CHARLES | MANAGING DIRECTOR AND BROKER DEALER & INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER | 4811434 |
| STARR, JEFFREY HAROLD | MANAGING DIRECTOR, AND OPERATIONAL SERVICES AND PRINCIPAL OPERATIONS OFFICER | 4700461 |
| VERDESCHI, MICHAEL DANIEL | MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 4570777 |
Disclosures
| Regulatory Event | 58 |
| Civil Event | 3 |
| Arbitration | 248 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/24/2025 | ||
| 01/19/2024 | ||
| 04/14/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
