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Charles Nichols

Charles Schwab & CO., Inc.

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About Charles Nichols

Charles Nichols is a financial advisor who has been in the industry since August 29, 2011. Charles is currently registered with Charles Schwab & CO., Inc. and has worked with several other firms in the past, including Janus Henderson Distributors, Betterment Securities, Janus Distributors LLC, Morgan Stanley & CO. Incorporated, Morgan Stanley DW Inc. and UBS Financial Services Inc. Charles is licensed to provide financial advice in Colorado.

Firm Information

Charles Nichols 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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Charles Nichols’s Registration & Firm History

CO

07/30/2020 - Present

Charles Schwab & CO., Inc. (Lone Tree CO)

CO

03/01/2017 - 06/08/2020

JANUS HENDERSON DISTRIBUTORS (DENVER CO)

NY

05/26/2016 - 02/17/2017

BETTERMENT SECURITIES (NEW YORK NY)

CO

03/03/2014 - 05/18/2016

JANUS DISTRIBUTORS LLC (DENVER CO)

NY

04/02/2007 - 07/11/2008

MORGAN STANLEY & CO. INCORPORATED (NEW YORK NY)

NY

11/30/2006 - 04/02/2007

MORGAN STANLEY DW INC. (NEW YORK NY)

NY

10/31/2005 - 12/11/2006

UBS FINANCIAL SERVICES INC. (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 11/17/2005

Series 66 - Uniform Combined State Law Examination

BC

Issued 03/24/2014

Series 24 - General Securities Principal Examination

BC

Issued 12/04/2018

Series 3 - National Commodity Futures Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/03/2014

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe EDGX Exchange, Inc.

F

FINRA

M

MEMX LLC

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Charles Nichols.
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