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Nicholas Charles Smock

Charles Schwab & CO., Inc.

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About Nicholas Charles Smock

Nicholas Charles Smock is a financial professional with over 10 years of experience in the industry. Nicholas is currently registered with Charles Schwab & CO., Inc. and previously worked with TD Ameritrade Clearing, Inc., TD Ameritrade, Inc., Cetera Advisors LLC and Pacific West Securities, Inc. Nicholas holds the Series 66, Series 24 and Series 7 securities licenses. Nicholas provides a range of financial services, including financial planning and portfolio management.

Firm Information

Nicholas Smock 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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Nicholas Smock’s Registration & Firm History

TX

12/01/2021 - Present

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

TX

07/29/2020 - 10/20/2021

TD AMERITRADE CLEARING, INC. (Southlake TX)

TX

07/19/2018 - 08/07/2020

TD AMERITRADE, INC. (Southlake TX)

TX

01/16/2014 - 07/24/2018

TD AMERITRADE CLEARING, INC. (Southlake TX)

MN

02/28/2012 - 10/22/2013

CETERA ADVISORS LLC (CHANHASSEN MN)

MN

12/16/2011 - 02/28/2012

PACIFIC WEST SECURITIES, INC. (CHANHASSEN MN)

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Licenses & Designations

BOTH

Issued 04/05/2012

Series 66 - Uniform Combined State Law Examination

BC

Issued 03/29/2015

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/15/2011

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 Nicholas Charles Smock.
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