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Elizabeth Tam Duong

Charles Schwab & CO., Inc.

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About Elizabeth Tam Duong

Elizabeth Tam Duong is a financial advisor with over 20 years of experience in the industry. Elizabeth currently works at Charles Schwab & CO., Inc. in Pleasanton, CA. Elizabeth has experience working for several other firms, including CITICORP INVESTMENT SERVICES in Long Island City, NY, CAL FED INVESTMENTS in Sacramento, CA, and TD WATERHOUSE INVESTOR SERVICES, INC. in Omaha, NE. Elizabeth is licensed to sell securities in California and has a wide range of experience in financial planning and portfolio management.

Firm Information

Elizabeth Duong 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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Elizabeth Duong’s Registration & Firm History

CA

07/01/2004 - Present

Charles Schwab & CO., Inc. (Pleasanton CA)

NY

02/05/2003 - 06/22/2004

CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)

CA

09/12/2001 - 02/05/2003

CAL FED INVESTMENTS (SACRAMENTO CA)

NE

05/10/2000 - 03/30/2001

TD WATERHOUSE INVESTOR SERVICES, INC. (OMAHA NE)

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Licenses & Designations

BC

Issued 06/01/2000

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 09/10/2022

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/09/2000

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 Elizabeth Tam Duong.
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