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Joshua Pico Voluntarily Resigned from Charles Schwab & Co.

Joshua Pico (CRD #: 4612986) has voluntarily resigned from Charles Schwab & Co. This disclosure appears on his BrokerCheck record, accessed on November 15, 2023. Keep reading if you have questions. 

On September 12, 2023, Joshua Pico voluntarily resigned from Charles Schwab & Co. following allegations that he accepted a signed client document and then altered it. 

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Altering client-signed documents would violate this rule. 

Background Information 

Joshua Pico has passed the following exams: 

  • Series 66 – Uniform Combined State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 31 Futures Managed Funds Examination 
  • Series 7 General Securities Representative Examination 

During his 18 years of experience, he has registered with the following six firms: 

  • Charles Schwab & Co. (CRD #: 5393) 
  • Securities Service Network (CRD #: 13318) 
  • TD Ameritrade (CRD #: 7870) 
  • AllState Financial Services (CRD #: 18272) 
  • Fidelity Brokerage Services (CRD #: 7784) 
  • Morgan Stanley DW (CRD #: 7556) 

Kurta Law Can Help

If you worked with Joshua Pico and have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.

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