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Alex James Simon

Charles Schwab & CO., Inc.

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About Alex James Simon

Alex Simon is a registered representative and investment advisor representative with Charles Schwab & Co., Inc., located in Omaha, NE. Alex has over 14 years of experience in the financial services industry. Alex previously worked with TD Ameritrade, Inc. and TD Ameritrade Clearing, Inc. Alex holds Series 3, 4, 7, 24, 34, and 63 licenses and the SIE exam. Alex is also registered in all 50 states.

Firm Information

Alex Simon is currently registered with Charles Schwab & CO., Inc.. Charles Schwab & CO., Inc. is a Corporation formed in April 1971, headquartered in San Francisco, California. The firm offers a range of advisory services including financial planning, selection of other advisors, and wrap fee programs. They have a broad client base including individuals, corporations, and other institutions. The firm manages over $50 billion in assets and operates in all 50 states and territories.
Charles Schwab & CO., Inc.

211 MAIN STREET

SAN FRANCISCO, CA 94105

Not reported

Assets Under Management

919,128

Total Clients

10,627

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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wrap fee program sponsor and financial planning advisor referral program

Wrap fee program sponsor and financial planning advisor referral program

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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other

Asset based fees for wrap pgrms & subsc pricing for fin planning

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Alex Simon’s Registration & Firm History

NE

07/23/2022 - Present

Charles Schwab & CO., Inc. (Omaha NE)

NE

02/26/2010 - 05/19/2024

TD AMERITRADE, INC. (OMAHA NE)

NE

12/20/2017 - 04/20/2020

TD AMERITRADE CLEARING, INC. (OMAHA NE)

NE

11/01/2011 - 12/20/2013

TD AMERITRADE CLEARING, INC. (OMAHA NE)

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Licenses & Designations

BC

Issued 03/05/2010

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 04/09/2018

Series 4 - Registered Options Principal Examination

BC

Issued 07/12/2016

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/30/2014

Series 34 - Retail Off-Exchange FOREX Examination

BC

Issued 11/21/2013

Series 3 - National Commodity Futures Examination

BC

Issued 02/25/2010

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Alex James Simon.
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