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Amy Rose Smith

Charles Schwab & CO., Inc.

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About Amy Rose Smith

Amy Rose Smith is a registered representative with Charles Schwab & CO., Inc. Amy has been in the financial industry since 2017 and has held previous roles with TD Ameritrade. Amy holds the Series 63, 66, 7, 4, and 24 licenses as well as the SIE designation. Amy is licensed in 51 states and the District of Columbia. Amy is an experienced financial advisor with expertise in providing financial planning services.

Firm Information

Amy Smith 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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Amy Smith’s Registration & Firm History

NE

09/30/2022 - Present

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

NE

08/21/2017 - 07/06/2023

TD AMERITRADE, INC. (OMAHA NE)

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Licenses & Designations

BOTH

Issued 04/10/2018

Series 66 - Uniform Combined State Law Examination

BC

Issued 08/29/2017

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 09/28/2022

Series 4 - Registered Options Principal Examination

BC

Issued 03/09/2020

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/21/2017

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 Amy Rose Smith.
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