Denise F. Costello
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 Florence Costello, who also goes by Denise F Costello, Denise Costello, Denise Florence Natale, was a registered financial professional .
Denise is a previously registered financial professional and started their career in finance in 1981. Denise had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7, Series 9, Series 10 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 24, 2023 - January 15, 2026
CHARLES SCHWAB & CO., INC.
April 7, 2023 - August 2, 2023
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
August 11, 2021 - September 23, 2021
EMPOWER FINANCIAL SERVICES, INC.
April 26, 2017 - January 6, 2021
TD AMERITRADE, INC.
June 6, 2006 - March 29, 2017
SCOTTRADE, INC.
April 25, 2006 - June 1, 2006
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
March 28, 2006 - June 1, 2006
TD AMERITRADE, INC.
October 19, 2005 - June 1, 2006
TD AMERITRADE, INC.
April 24, 2003 - November 10, 2003
VISION BROKERAGE SERVICES, LLC
January 2, 2003 - April 11, 2003
VISION BROKERAGE SERVICES, LLC
May 21, 1986 - May 25, 2001
CHARLES SCHWAB & CO., INC.
March 17, 1986 - April 29, 1986
UNDERHILL ASSOCIATES, INCORPORATED
August 26, 1985 - March 17, 1986
HOMESTEAD SECURITIES, INC.
April 26, 1984 - September 4, 1985
MARVEST SECURITIES, INC.
June 7, 1982 - June 6, 1983
MABON, NUGENT & CO.
March 23, 1981 - May 21, 1982
UNDERHILL ASSOCIATES, INCORPORATED
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
Series 8
Date: 10/7/1987
General Securities Sales Supervisor Examination (Options Module & General Module)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 | 251 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/23/2026 | ||
| 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.
