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Corey David Umeda

Charles Schwab & CO., Inc.

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About Corey David Umeda

Corey David Umeda is a registered representative with Charles Schwab & Co., Inc. based in Lone Tree, Colorado. Corey has been in the industry since 2005. Corey holds the Series 66, Series 24, Series 53, Series 7, Series 55, SIE, Series 99TO, and Series 57TO licenses. Corey's previous employment includes TD Ameritrade, Inc. and Scott & Stringfellow, Inc.

Firm Information

Corey Umeda 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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Corey Umeda’s Registration & Firm History

CO

06/20/2008 - Present

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

NE

12/06/2021 - 05/19/2024

TD AMERITRADE, INC. (OMAHA NE)

NC

09/20/2005 - 06/03/2008

SCOTT & STRINGFELLOW, INC. (WILMINGTON NC)

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Licenses & Designations

BOTH

Issued 10/27/2005

Series 66 - Uniform Combined State Law Examination

BC

Issued 01/17/2019

Series 53 - Municipal Securities Principal Examination

BC

Issued 07/11/2013

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 01/02/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/17/2012

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 09/19/2005

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There is public disclosure for Corey David Umeda. Review regulatory record here.
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