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Lauren Marie Dalton

Charles Schwab & CO., Inc.

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About Lauren Marie Dalton

Lauren Dalton is a financial advisor with over six years of experience. Lauren has held positions at a number of firms, including J.P. Morgan Securities LLC, SWBC Investment Services, LLC, PNC Investments, and Fidelity Brokerage Services LLC. Lauren is currently registered with Charles Schwab & CO., Inc. Lauren specializes in providing financial planning and investment advice to individuals. Lauren is a Series 7 and Series 66 licensed advisor and holds a SIE designation. Lauren has a broad understanding of the financial markets and can help clients achieve their financial goals.

Firm Information

Lauren Dalton 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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Lauren Dalton’s Registration & Firm History

TX

01/09/2022 - Present

Charles Schwab & CO., Inc. (The Woodlands TX)

TX

04/25/2019 - 10/28/2021

J.P. MORGAN SECURITIES LLC (Spring TX)

TX

12/07/2017 - 03/15/2019

SWBC INVESTMENT SERVICES, LLC (HOUSTON TX)

OH

09/20/2016 - 05/02/2017

PNC INVESTMENTS (CINCINNATI OH)

KY

06/30/2014 - 05/19/2016

FIDELITY BROKERAGE SERVICES LLC (COVINGTON KY)

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Licenses & Designations

BOTH

Issued 01/22/2015

Series 66 - Uniform Combined State Law Examination

BC

Issued 07/08/2014

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/28/2014

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 Lauren Marie Dalton.
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