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Michael Ponce

Charles Schwab & CO., Inc.

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About Michael Ponce

Michael Ponce is a registered representative with Charles Schwab & Co., Inc. in Charlotte, NC. Michael has been in the financial services industry since 2009 and has experience with TD Ameritrade, Inc., TD Ameritrade Clearing, Inc. and Putnam Mutual Funds Corp. Michael is licensed to offer securities in 53 states.

Firm Information

Michael Ponce 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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Michael Ponce’s Registration & Firm History

NC

07/02/2021 - Present

Charles Schwab & CO., Inc. (Charlotte NC)

NC

07/22/2011 - 10/20/2023

TD AMERITRADE, INC. (Charlotte NC)

NE

12/18/2020 - 06/25/2021

TD AMERITRADE CLEARING, INC. (OMAHA NE)

NC

06/14/2011 - 07/11/2011

CHARLES SCHWAB & CO., INC. (CHARLOTTE NC)

MA

04/14/1997 - 08/25/1998

PUTNAM MUTUAL FUNDS CORP. (BOSTON MA)

MA

07/26/1994 - 05/01/1995

METLIFE SECURITIES INC. (SPRINGFIELD MA)

NY

07/26/1994 - 05/01/1995

METROPOLITAN LIFE INSURANCE COMPANY (NEW YORK NY)

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Licenses & Designations

BC

Issued 05/10/2011

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/17/2020

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/13/2011

Series 7 - General Securities Representative Examination

BC

Issued 07/25/1994

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 Michael Ponce.
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