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Doreen Lynn Pruzin

Charles Schwab & CO., Inc.

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About Doreen Lynn Pruzin

Doreen Lynn Pruzin is an experienced financial professional with over 23 years in the industry. Doreen is a registered representative with Charles Schwab & Co., Inc. where she provides financial advice and services to clients. Prior to joining Charles Schwab, Doreen held positions at USAA Financial Advisors, Inc., Soliium Financial Services LLC, J.P. Morgan Securities LLC, Terra Nova Financial, LLC, Raymond James & Associates, Inc., Web Street Securities, Inc., ABN AMRO Incorporated, Focused Investments L.L.C. and Wayne Hummer Investments L.L.C.

Firm Information

Doreen Pruzin 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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Doreen Pruzin’s Registration & Firm History

AZ

07/30/2020 - Present

Charles Schwab & CO., Inc. (Phoenix AZ)

AZ

09/11/2019 - 05/26/2020

USAA FINANCIAL ADVISORS, INC. (PHOENIX AZ)

NJ

05/30/2012 - 08/15/2019

SOLIUM FINANCIAL SERVICES LLC (WOODCLIFF LAKE NJ)

IL

05/04/2010 - 10/07/2011

J.P. MORGAN SECURITIES LLC (CHICAGO IL)

IL

07/09/2003 - 07/15/2009

TERRA NOVA FINANCIAL, LLC (CHICAGO IL)

FL

08/01/2002 - 04/04/2003

RAYMOND JAMES & ASSOCIATES, INC. (ST. PETERSBURG FL)

IL

09/05/2000 - 11/13/2001

WEB STREET SECURITIES, INC. (DEERFIELD IL)

CT

08/06/1998 - 09/07/2000

ABN AMRO INCORPORATED (STAMFORD CT)

IL

08/21/1996 - 05/20/1998

FOCUSED INVESTMENTS L.L.C. (CHICAGO IL)

IL

09/24/1996 - 05/15/1998

WAYNE HUMMER INVESTMENTS L.L.C. (CHICAGO IL)

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Licenses & Designations

BC

Issued 09/12/1996

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/28/2023

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 08/12/2023

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 09/11/1997

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/13/2003

Series 3 - National Commodity Futures Examination

BC

Issued 03/30/2001

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 08/20/1996

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 Doreen Lynn Pruzin.
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