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Carolyn Chan

Charles Schwab & CO., Inc.

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About Carolyn Chan

Carolyn Chan is a financial professional with over 7 years of experience in the financial services industry. Carolyn has worked with Charles Schwab & CO., Inc. since 2018 and holds both a Series 7 and Series 66 license. Carolyn is a Certified Financial Planner™ professional. Carolyn's prior experience includes positions at Merrill Lynch, Pierce, Fenner & Smith Incorporated, and UBS Financial Services Inc.

Firm Information

Carolyn Chan 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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Carolyn Chan’s Registration & Firm History

CA

07/13/2021 - Present

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

CA

07/03/2018 - 01/25/2021

CHARLES SCHWAB & CO., INC. (San Mateo CA)

CA

08/16/2017 - 06/02/2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (MENLO PARK CA)

CA

03/14/2016 - 07/28/2017

UBS FINANCIAL SERVICES INC. (SAN FRANCISCO CA)

CA

09/24/2015 - 03/15/2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SAN FRANCISCO CA)

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Licenses & Designations

BOTH

Issued 11/09/2015

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/23/2015

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 Carolyn Chan.
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