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Fred Joseph Larocca

Charles Schwab & CO., Inc.

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About Fred Joseph Larocca

Fred Joseph Larocca is a financial advisor with over 35 years of experience in the financial industry. He is currently registered with Charles Schwab & CO., Inc. in New Jersey and Texas. Fred has a wide range of experience in the financial industry, having worked for a variety of firms, including TD Ameritrade, Inc., and The Dreyfus Service Corporation. Fred is a licensed Series 7, 63, 66, and 24, and 26.

Firm Information

Fred Larocca 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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Fred Larocca’s Registration & Firm History

NJ

01/25/2022 - Present

Charles Schwab & CO., Inc. (Chatham NJ)

NJ

01/23/2019 - 03/07/2022

TD AMERITRADE, INC. (JERSEY CITY NJ)

NJ

04/08/1997 - 01/29/2019

CHARLES SCHWAB & CO., INC. (PRINCETON NJ)

NY

08/29/1987 - 03/14/1997

THE DREYFUS SERVICE CORPORATION (NEW YORK NY)

NA

02/19/1986 - 11/18/1986

TRAVELERS EQUITIES SALES, INC.

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Licenses & Designations

BOTH

Issued 03/13/2006

Series 66 - Uniform Combined State Law Examination

BC

Issued 09/03/1987

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/06/1995

Series 24 - General Securities Principal Examination

BC

Issued 09/06/1991

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 01/02/2023

Series 6TO - Investment Company Products/Variable Contracts Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/15/1986

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There is public disclosure for Fred Joseph Larocca. Review regulatory record here.
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