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Joseph Raymond Plank

Charles Schwab & CO., Inc.

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About Joseph Raymond Plank

Joseph Plank is a financial professional with over 20 years of experience in the industry. Joseph currently works as a registered representative for Charles Schwab & Co., Inc. in Lone Tree, CO. Prior to joining Charles Schwab, Joseph worked for Columbia Management Distributors, Inc. and Teachers Personal Investors Services, Inc. in different roles. Joseph holds the Series 6, 7, and 63 securities licenses and the SIE exam. Joseph is registered to sell securities in California and Colorado.

Firm Information

Joseph Plank 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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Joseph Plank’s Registration & Firm History

CO

10/30/2014 - Present

Charles Schwab & CO., Inc. (Lone Tree CO)

CO

10/12/2006 - 05/18/2007

COLUMBIA MANAGEMENT DISTRIBUTORS, INC. (AURORA CO)

MA

09/24/2001 - 12/06/2005

COLUMBIA MANAGEMENT DISTRIBUTORS, INC. (BOSTON MA)

TX

10/05/1998 - 07/05/2001

CHARLES SCHWAB & CO., INC. (WESTLAKE TX)

NY

05/01/1998 - 09/02/1998

TEACHERS PERSONAL INVESTORS SERVICES, INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 11/20/2014

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/30/2014

Series 7 - General Securities Representative Examination

BC

Issued 04/30/1998

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 Joseph Raymond Plank.
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