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Charles Robert Schwab

Firm:
Charles Schwab Investment Management, Inc
Chairman and Director
Additional Firm:
Charles Schwab & Co., Inc.
Chairman of The Board
Type: Registered Representative
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Description

Charles Schwab an executive and has an ownership stake of Charles Schwab & Co., Inc., a broker-dealer with over 6,250 registered representatives nationwide. Charles has held an industry securities registration for 31 years and is subject to FINRA oversight.

BrightScope Advisor Metrics

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Answers and Guides

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0 Answers and 0 Financial Guides

Top Answers

Charles Robert Schwab has not answered any questions on Financial Q&A.

Top Guides

Charles Robert Schwab has not contributed any Financial Guides on Financial Q&A.
*Answers and guides are provided without compensation.

Firm Client Types

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ownership pie chart
Individuals
High Net Worth Individuals
Banking or Thrift Institutions
Pension and Profit Sharing Plans
Corporations or Other Businesses
Charitable Organizations
Investment Companies
Other Pooled Investment Vehicles

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

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Employer Years Dates
Lattice Strategies LLC 18 years, 5 months Dec 1994 - Present
Charles Schwab Investment Management, Inc 23 years, 5 months Dec 1989 - Present
Charles Schwab & Co., Inc. 42 years, 2 months Apr 1971 - Present
Charles Schwab & Co., Inc. 42 years, 2 months Apr 1971 - Present
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of , and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

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Regulator
FINRA
License Status
Registered
Disclosures

11 Customer Disputes

3 Regulatory Events
As of Date
09/30/2012
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

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Exam Series Passed Date
Financial Principal Examination F04 09/29/1977
General Securities Principal Examination Series 00 05/07/1970

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Other: COSTS