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Derrick Enzo Ricci

Charles Schwab & CO., Inc.

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About Derrick Enzo Ricci

Derrick Enzo Ricci is a financial advisor with Charles Schwab & Co., Inc. Derrick is based in Lone Tree, Colorado and has been working in the financial services industry since April 6, 2000. Prior to joining Charles Schwab, Derrick was employed by TD Ameritrade, Inc. in San Diego, California, Linsco/Private Ledger Corp. in Fort Mill, South Carolina and TD Waterhouse Investor Services, Inc. in Omaha, Nebraska. Derrick has passed the Series 63, Series 7 and SIE exams. Derrick holds a FINRA registration with Charles Schwab & Co., Inc. and is registered with the State of Colorado. Derrick has been registered with the SEC and FINRA for over 20 years. Derrick is registered with FINRA and 53 states.

Firm Information

Derrick Ricci 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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Derrick Ricci’s Registration & Firm History

CO

11/18/2022 - Present

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

CA

12/21/2005 - 09/29/2023

TD AMERITRADE, INC. (SAN DIEGO CA)

SC

09/30/2005 - 12/02/2005

LINSCO/PRIVATE LEDGER CORP. (FORT MILL SC)

NE

08/14/1999 - 02/22/2005

TD WATERHOUSE INVESTOR SERVICES, INC. (OMAHA NE)

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Licenses & Designations

BC

Issued 12/23/1999

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/12/1999

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There is public disclosure for Derrick Enzo Ricci. Review regulatory record here.
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