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Joshua Jay Klingen

Charles Schwab & CO., Inc.

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About Joshua Jay Klingen

Joshua Klingen is a registered representative with Charles Schwab & CO., Inc. Joshua is also a registered investment advisor representative with TD Ameritrade, INC. Joshua has 2 years and 11 months of experience in the securities industry and has been registered with Charles Schwab & CO., Inc. since January 2025. Joshua is currently registered in 51 states and the District of Columbia. Joshua has passed the Series 7TO, Series 9, Series 63, and SIE exams. In addition to being a registered representative with Charles Schwab & CO., Inc., Joshua is also a Financial Planner. Joshua is located at the Charles Schwab & CO., Inc. branch office in Westlake, Texas.

Firm Information

Joshua Klingen 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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Joshua Klingen’s Registration & Firm History

TX

01/13/2025 - Present

Charles Schwab & CO., Inc. (Westlake TX)

TX

01/26/2021 - 12/31/2023

TD AMERITRADE, INC. (Westlake TX)

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Licenses & Designations

BC

Issued 02/09/2021

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/16/2022

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 01/25/2021

Series 7TO - General Securities Representative Examination

BC

Issued 12/02/2020

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Joshua Jay Klingen.
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