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Joseph Williams

Charles Schwab & CO., Inc.

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About Joseph Williams

Joseph Williams is a financial professional with over 7 years of experience in the industry. Joseph is currently a registered representative with Charles Schwab & CO., Inc. Joseph has a broad range of experience in the financial industry, holding licenses and registrations in multiple states. Joseph has expertise in both investment advisory and broker-dealer services, allowing Joseph to offer a comprehensive approach to financial planning.

Firm Information

Joseph Williams 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 Williams’s Registration & Firm History

CA

09/06/2021 - Present

Charles Schwab & CO., Inc. (Santa Rosa CA)

CA

12/17/2015 - 08/30/2017

SOFI SECURITIES LLC (SAN FRANCISCO CA)

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Licenses & Designations

BOTH

Issued 08/11/2021

Series 66 - Uniform Combined State Law Examination

BC

Issued 12/21/2015

Series 63 - Uniform Securities Agent State Law Examination

IA

Issued 10/05/2015

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 11/05/2021

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 10/01/2021

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 07/20/2017

Series 24 - General Securities Principal Examination

BC

Issued 09/06/2021

Series 7TO - General Securities Representative Examination

BC

Issued 09/06/2021

SIE - Securities Industry Essentials Examination

BC

Issued 12/07/2015

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 Joseph Williams.
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