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Charles Schwab & Co., Inc.

Charles Schwab & Co., Inc.
Charles Schwab & Co., Inc. is a broker-dealer with over 6,298 financial professionals The firm's primary clients are Individuals, High Net Worth Individuals and Pension and Profit Sharing Plans.

Firm Information

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Advisors (6,298)

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Name Start Date
Aaron Christian Mulvaney Dec 2003
Aaron Christopher Danton Sep 2008
Aaron German Sep 2005
Aaron Joseph Burch Dec 1997
Aaron Lee Asche Jan 2004
View All
*Unless otherwise noted, an advisor's inclusion in the above list is based on that advisor's registration as per their SEC registration filing. Please note that 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 advisor listed above may no longer be employed by that firm. Please contact the firm directly to determine the employment status of the advisors listed above.

Firm Assets Under Management

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Not Available
Total Assets
Not Available
Accounts
Not Available
Estimated Average Account Balance
*The AUM displayed is firm level data as reported on the SEC ADV filings and may not reflect all of a firm's assets.
*Average Account Balance is the total AUM of the firm divided by the number of accounts listed on the SEC ADV filing. This calculation is an estimate.

Ownership

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ownership pie chart
  •   Schwab Holdings, Inc. (75% or more)
  •   Executives with less than 5% share each

*The pie chart is not drawn to scale and is simply included to make the data visually understandable. The ownership is from the firm's or advisor's Form ADV. Executives with less than 5% share may not own any of the firm. Please see the Form ADV for complete disclosure.

Executives and Control Persons

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Name Title Tenure Date
Charles Robert Schwab Chairman of The Board 04/01/1971
Carrie Elizabeth Dwyer Executive Vice President - Corporate Oversight and Corporate Secretary 02/01/1998
Walter William Bettinger President and CEO 10/01/2008
Bari Manzari Havlik Svp, Global Compliance & Chief Compliance Officer 10/01/2004
Joseph Raymond Martinetto Evp- Chief Financial Officer 05/01/2007

Affiliated Investment Advisors and Broker Dealers

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No firm affiliates listed.

Principal Office & Place of Business

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Principal Office

Address:
211 Main Street
San Francisco , CA 94105
Phone Number: 415-667-7000
Other Offices Address City State Zip
800 El Camino Real Menlo Park CA 94025-4875
100 Post Street San Francisco CA 94108-4702
11100 NE 8th Street Bellevue WA 98004-4465
100 Pringle Avenue Walnut Creek CA 94596-7391
508 Union Street Seattle WA 98101-2309
9401 E. Panorama Circle Englewood CO 80112-3441

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Hourly Charges
  • Fixed Fees
  • Other: ASSET BASED FEES FOR WRAP PROGRAMS SPONSORED BY APPLICANT.