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Guillermo Antonio Roses

Charles Schwab & CO., Inc.

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About Guillermo Antonio Roses

Guillermo Antonio Roses has over 34 years of experience in the financial industry. Guillermo is currently registered with Charles Schwab & CO., Inc. and has been registered with the firm since 2024. Guillermo holds FINRA Series 6, 7, 24 and 66 licenses and has also passed the SIE exam. Guillermo is a Chartered Financial Consultant. Previously, Guillermo worked for Morgan Stanley and E*TRADE SECURITIES LLC.

Firm Information

Guillermo Roses 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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Guillermo Roses’s Registration & Firm History

CA

06/19/2024 - Present

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

CA

03/20/2023 - 05/14/2024

MORGAN STANLEY (ROSEVILLE CA)

CA

01/04/2012 - 09/05/2023

E*TRADE SECURITIES LLC (ROSEVILLE CA)

CA

12/05/2007 - 01/18/2012

METLIFE SECURITIES INC. (SACRAMENTO CA)

CA

10/30/1991 - 11/29/2007

MML INVESTORS SERVICES, INC. (SACRAMENTO CA)

NA

08/03/1990 - 11/01/1991

MONARCH SECURITIES, INC.

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Licenses & Designations

BOTH

Issued 02/22/2012

Series 66 - Uniform Combined State Law Examination

BC

Issued 03/19/1991

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 11/07/2008

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/19/2008

Series 7 - General Securities Representative Examination

BC

Issued 08/01/1990

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Guillermo Antonio Roses.
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