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Benjamin Robert Gongora

Charles Schwab & CO., Inc.

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About Benjamin Robert Gongora

Benjamin Robert Gongora is a financial advisor registered with Charles Schwab & CO., Inc. Benjamin has been in the financial industry since March 15, 2000. He has a Series 66 license, and has passed several other exams: the Securities Industry Essentials (SIE) exam, the Futures Managed Funds (Series 31) exam and the General Securities Representative (Series 7) exam. Benjamin also has registrations in 23 states including California, Texas, and New York. In addition to his work at Charles Schwab & CO., Inc., Benjamin is also involved in several other business activities: he owns several rental properties and is a high school basketball coach.

Firm Information

Benjamin Gongora 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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Benjamin Gongora’s Registration & Firm History

CA

01/02/2019 - Present

Charles Schwab & CO., Inc. (Santa Rosa CA)

NY

02/04/2000 - 08/29/2005

MORGAN STANLEY DW INC. (PURCHASE NY)

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Licenses & Designations

BOTH

Issued 02/25/2000

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/15/2000

Series 31 - Futures Managed Funds Examination

BC

Issued 02/03/2000

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There is public disclosure for Benjamin Robert Gongora. Review regulatory record here.
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