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Elaine Michelle Giese

Charles Schwab & CO., Inc.

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About Elaine Michelle Giese

Elaine Michelle Giese is a financial professional with over eight years of experience in the financial services industry. Elaine is currently registered with Charles Schwab & Co., Inc. in Phoenix, Arizona. Elaine has previously held positions with WELLS FARGO CLEARING SERVICES, LLC and Charles Schwab & Co., Inc. Elaine holds Series 63, 66, 7, 9, and 10 licenses and is a registered investment advisor in Arizona. Elaine has been actively involved in the financial services industry since 2015. Elaine has experience providing financial planning, portfolio management, and wrap fee programs.

Firm Information

Elaine Giese 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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Elaine Giese’s Registration & Firm History

AZ

01/23/2024 - Present

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

AZ

05/13/2016 - 06/05/2017

WELLS FARGO CLEARING SERVICES, LLC (SURPRISE AZ)

AZ

05/12/2015 - 05/09/2016

CHARLES SCHWAB & CO., INC. (PHOENIX AZ)

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Licenses & Designations

BOTH

Issued 01/22/2024

Series 66 - Uniform Combined State Law Examination

BC

Issued 05/15/2015

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/10/2019

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 03/12/2018

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/12/2015

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There is public disclosure for Elaine Michelle Giese. Review regulatory record here.
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