Austin P. Pacholek
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.
Austin Paul Pacholek, who also goes by Austin Paul Pacholek, Austin Pacholek, was a registered financial professional .
Austin is a previously registered financial professional and started their career in finance in 2017. Austin had worked at 4 firms and has passed the Series 66, 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
June 18, 2021 - December 9, 2021
SCHWAB WEALTH ADVISORY, INC.
June 15, 2021 - December 9, 2021
CHARLES SCHWAB & CO., INC.
February 7, 2019 - January 7, 2021
FIDELITY BROKERAGE SERVICES LLC
June 18, 2018 - September 24, 2018
WELLS FARGO CLEARING SERVICES, LLC
September 5, 2017 - September 24, 2018
WELLS FARGO CLEARING SERVICES, LLC
Primary Firm SEC Registration
SCHWAB WEALTH ADVISORY, INC.
CRD#: 159035 / SEC#: 801-72795
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
SCHWAB WEALTH ADVISORY, INC.
CRD#: 159035 / SEC#: 801-72795
Contact information
SEC notice filing (53 States and Territories)
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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