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Benjamin Shen

Charles Schwab & CO., Inc.

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About Benjamin Shen

Benjamin Shen is an investment professional with over 18 years of experience in the financial services industry. He has been a registered representative with Charles Schwab & Co., Inc. since April 2018 and has also held previous positions at TD Ameritrade, Inc., Scottrade, Inc., and Sun's Brothers Securities Inc. Benjamin Shen is registered with the Securities and Exchange Commission as a Broker-Dealer (BD) and Investment Adviser (IA). Benjamin Shen holds licenses in multiple states and is a Series 7, Series 63 and Series 66 licensed representative. He specializes in Financial planning and portfolio management.

Firm Information

Benjamin Shen 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 Shen’s Registration & Firm History

CA

01/02/2019 - Present

Charles Schwab & CO., Inc. (Rowland Heights CA)

CA

02/26/2018 - 04/03/2018

TD AMERITRADE, INC. (HUNTINGTON BEACH CA)

CA

05/19/2004 - 02/26/2018

SCOTTRADE, INC. (TUSTIN CA)

HI

02/11/2004 - 02/20/2004

SUN'S BROTHERS SECURITIES INC. (HONOLULU HI)

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Licenses & Designations

BOTH

Issued 07/11/2017

Series 66 - Uniform Combined State Law Examination

BC

Issued 06/09/2004

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/10/2004

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 Benjamin Shen.
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