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Jonathan Duff

Charles Schwab & CO., Inc.

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About Jonathan Duff

Jonathan Duff is a financial advisor who has been in the industry since 2023. Jonathan is currently registered with Charles Schwab & CO., Inc. and has been with the firm since May 2024. Jonathan previously worked at TD Ameritrade, Inc. from March 2023 to May 2024. Jonathan holds Series 7, 9, 10, 63, and 66 licenses. Jonathan is registered in 53 states and is active in the Broker-Dealer (BC) scope. Jonathan provides financial planning services and is a wrap fee program sponsor.

Firm Information

Jonathan Duff 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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Jonathan Duff’s Registration & Firm History

NE

12/09/2024 - Present

Charles Schwab & CO., Inc. (Omaha NE)

NE

03/03/2023 - 05/10/2024

TD AMERITRADE, INC. (OMAHA NE)

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Licenses & Designations

BOTH

Issued 09/13/2024

Series 66 - Uniform Combined State Law Examination

BC

Issued 03/22/2023

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/16/2024

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 11/14/2023

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 03/03/2023

Series 7TO - General Securities Representative Examination

BC

Issued 01/05/2023

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Jonathan Duff.
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