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Dipa Desai

Charles Schwab & CO., Inc.

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About Dipa Desai

Dipa Desai is a registered investment advisor representative with Charles Schwab & Co., Inc. Dipa has been in the industry since 2007. Dipa is registered in 10 states, and has passed the Series 7, Series 63, Series 66 and SIE exams. Dipa has previous experience with TD Ameritrade, Inc. and Scottrade, Inc. Dipa's current registrations include: - Broker-dealer, investment adviser, and state licenses. Charles Schwab & Co., Inc. is a large financial services firm with over $50 billion in assets under management. The firm provides a wide range of services, including financial planning, portfolio management, and investment research.

Firm Information

Dipa Desai 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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Dipa Desai’s Registration & Firm History

LA

01/26/2022 - Present

Charles Schwab & CO., Inc. (Metairie LA)

LA

02/26/2018 - 07/29/2024

TD AMERITRADE, INC. (Baton Rouge LA)

LA

10/11/2007 - 02/26/2018

SCOTTRADE, INC. (BATON ROUGE LA)

TX

07/19/2006 - 08/30/2006

TD AMERITRADE, INC. (FORT WORTH TX)

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Licenses & Designations

BOTH

Issued 02/10/2017

Series 66 - Uniform Combined State Law Examination

BC

Issued 07/24/2006

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/17/2006

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There is public disclosure for Dipa Desai. Review regulatory record here.
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