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John Dwayne Warnock

Charles Schwab & CO., Inc.

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About John Dwayne Warnock

John Dwayne Warnock has been in the financial services industry since April 25, 2008. John is currently a registered representative with Charles Schwab & Co., Inc. John has previous experience with TD Ameritrade, Inc., TD Ameritrade Clearing, Inc. and LPL Financial Corporation. John has passed the Series 63, Series 4, Series 24, SIE and Series 7 exams. John is registered in California.

Firm Information

John Warnock 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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John Warnock’s Registration & Firm History

AZ

03/30/2023 - Present

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

CA

12/02/2009 - 12/31/2023

TD AMERITRADE, INC. (SAN DIEGO CA)

NE

09/04/2013 - 01/29/2021

TD AMERITRADE CLEARING, INC. (OMAHA NE)

CA

11/14/2008 - 04/06/2009

LPL FINANCIAL CORPORATION (SAN DIEGO CA)

CA

12/16/2006 - 02/29/2008

TD AMERITRADE, INC. (SAN DIEGO CA)

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Licenses & Designations

BC

Issued 01/11/2007

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 04/07/2014

Series 4 - Registered Options Principal Examination

BC

Issued 06/25/2012

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/14/2006

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There is public disclosure for John Dwayne Warnock. Review regulatory record here.
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