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Joan Louise Buxton

Charles Schwab & CO., Inc.

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About Joan Louise Buxton

Joan Buxton is a financial advisor with over 30 years of experience in the industry. Joan is currently registered with Charles Schwab & CO., Inc. and has previously been registered with OPTIONSXPRESS, INC., HARRIS ASSOCIATES SECURITIES L.P., HOWE BARNES INVESTMENTS, INC., and R A F FINANCIAL CORPORATION. Joan holds the following licenses: Series 63, Series 65, Series 7, Series 9, Series 10 and SIE. Joan is also licensed in Illinois and California.

Firm Information

Joan Buxton 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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Joan Buxton’s Registration & Firm History

IL

11/01/1993 - Present

Charles Schwab & CO., Inc. (Chicago IL)

IL

03/07/2013 - 11/14/2017

OPTIONSXPRESS, INC. (CHICAGO IL)

IL

07/20/1990 - 07/26/1993

HARRIS ASSOCIATES SECURITIES L.P. (CHICAGO IL)

IL

08/25/1988 - 05/18/1990

HOWE BARNES INVESTMENTS, INC. (CHICAGO IL)

NA

02/23/1988 - 06/02/1988

R A F FINANCIAL CORPORATION

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Licenses & Designations

IA

Issued 01/21/2000

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 03/17/1988

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/26/1999

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/04/1999

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/20/1988

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 Joan Louise Buxton.
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