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Mildred S Balce

Charles Schwab & CO., Inc.

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About Mildred S Balce

Mildred Balce is a financial professional with over 27 years of experience in the industry. Mildred is currently registered with Charles Schwab & CO., Inc. and holds several licenses including Series 6, 7, 63, and SIE. Mildred has a strong background in investment company products and variable contracts, operations, and general securities. In her previous role at FRANKLIN/TEMPLETON DISTRIBUTORS, INC., Mildred provided investment advice and guidance to clients. Mildred's extensive experience and certifications make her a valuable resource for individuals seeking financial guidance and investment management services.

Firm Information

Mildred Balce 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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Mildred Balce’s Registration & Firm History

CA

11/05/1999 - Present

Charles Schwab & CO., Inc. (San Francisco CA)

CA

06/19/1995 - 04/21/1999

FRANKLIN/TEMPLETON DISTRIBUTORS, INC. (SAN MATEO CA)

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Licenses & Designations

BC

Issued 04/29/2002

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/06/2001

Series 7 - General Securities Representative Examination

BC

Issued 06/16/1995

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There is public disclosure for Mildred S Balce. Review regulatory record here.
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