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Anne Frances Faught

Charles Schwab & CO., Inc.

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About Anne Frances Faught

Anne Frances Faught is a financial professional with over 27 years of experience in the industry. Anne is currently registered with Charles Schwab & CO., Inc. in California. Prior to joining Charles Schwab & CO., Inc., Anne worked at TD AMERITRADE, INC., Prudential Securities Incorporated, and La Jolla Securities Corporation. Anne holds the Series 63, Series 65, Series 7, and Series 24 licenses.

Firm Information

Anne Faught 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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Anne Faught’s Registration & Firm History

CA

04/25/2022 - Present

Charles Schwab & CO., Inc. (San Francisco CA)

CA

08/17/2000 - 07/29/2024

TD AMERITRADE, INC. (SAN DIEGO CA)

NY

02/18/1997 - 07/17/2000

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

CA

08/23/1996 - 01/01/1997

LA JOLLA SECURITIES CORPORATION (LA JOLLA CA)

CA

02/24/1996 - 07/22/1996

LA JOLLA SECURITIES CORPORATION (LA JOLLA CA)

TX

02/08/1996 - 02/22/1996

T.L. GROUP, INC. (FORT WORTH TX)

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Licenses & Designations

IA

Issued 05/26/1998

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 02/15/1996

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/04/2008

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/07/1996

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 Anne Frances Faught.
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