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Carie Ann Fielding

Charles Schwab & CO., Inc.

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About Carie Ann Fielding

Carie Fielding is a financial professional with over 10 years of experience in the industry. Carie is currently registered with Charles Schwab & CO., Inc., a firm with a long history of providing investment services to individual and institutional clients. Prior to joining Charles Schwab & CO., Inc., Carie held positions with PRUCO SECURITIES, LLC., and HARTFORD EQUITY SALES COMPANY INC.. Carie holds the Series 7, 6 and SIE securities licenses. Carie is dedicated to providing personalized financial advice to help clients reach their financial goals.

Firm Information

Carie Fielding 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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Carie Fielding’s Registration & Firm History

IL

04/18/2023 - Present

Charles Schwab & CO., Inc. (Chicago IL)

TX

02/11/2016 - 12/31/2016

CHARLES SCHWAB & CO., INC. (AUSTIN TX)

NJ

01/03/2013 - 03/21/2014

PRUCO SECURITIES, LLC. (NEWARK NJ)

CT

11/20/2007 - 01/03/2013

HARTFORD EQUITY SALES COMPANY INC. (HARTFORD CT)

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Licenses & Designations

BC

Issued 04/18/2023

Series 7TO - General Securities Representative Examination

BC

Issued 12/16/2022

SIE - Securities Industry Essentials Examination

BC

Issued 11/19/2007

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Carie Ann Fielding.
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