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Maurice J Simpkins

Charles Schwab & CO., Inc.

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About Maurice J Simpkins

Maurice J. Simpkins is a registered representative with Charles Schwab & Co., Inc. Maurice J. Simpkins has been in the securities industry since 2017. Maurice J. Simpkins has passed the Series 7, Series 66 and SIE exams and has earned licenses in several states including NJ, CA, CO, CT, DE, FL, NY, PA, TX, VA, WI. Prior to joining Charles Schwab & Co., Inc., Maurice J. Simpkins worked at TD Ameritrade, Inc. and Wells Fargo Clearing Services, LLC.

Firm Information

Maurice Simpkins 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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Maurice Simpkins’s Registration & Firm History

NJ

02/01/2024 - Present

Charles Schwab & CO., Inc. (Millburn NJ)

NJ

05/10/2021 - 07/29/2024

TD AMERITRADE, INC. (Millburn NJ)

MO

02/08/2021 - 05/05/2021

WELLS FARGO CLEARING SERVICES, LLC (ST. LOUIS MO)

NJ

05/15/2018 - 11/10/2020

WELLS FARGO CLEARING SERVICES, LLC (SHORT HILLS NJ)

NJ

03/07/2017 - 11/29/2017

EDWARD JONES (UPPER MONTCLAIR NJ)

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Licenses & Designations

BOTH

Issued 05/01/2017

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/07/2017

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 Maurice J Simpkins.
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