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Joshua Pico Voluntarily Resigned from Charles Schwab & Co.

Joshua Pico (CRD #: 4612986) has voluntarily resigned from Charles Schwab. 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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