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Nicholas Daniel Ahumada

Charles Schwab & CO., Inc.

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About Nicholas Daniel Ahumada

Nicholas Ahumada is a financial professional with experience in the financial services industry. Nicholas has been registered with Charles Schwab & CO., Inc. since October 2018. Prior to joining Charles Schwab & CO., Inc., Nicholas was associated with Northwestern Mutual Investment Services, LLC and Wells Fargo Clearing Services, LLC. Nicholas holds FINRA Series 6, 7TO, 9 and 63 licenses. Nicholas is currently registered to conduct business in Arizona.

Firm Information

Nicholas Ahumada 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 Ahumada’s Registration & Firm History

AZ

10/17/2018 - Present

Charles Schwab & CO., Inc. (Phoenix AZ)

AZ

05/31/2018 - 07/24/2018

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (PHOENIX AZ)

AZ

04/11/2017 - 01/11/2018

WELLS FARGO CLEARING SERVICES, LLC (PHOENIX AZ)

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Licenses & Designations

BC

Issued 05/11/2017

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 08/16/2021

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 01/29/2021

Series 7TO - General Securities Representative Examination

BC

Issued 07/24/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/11/2017

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 Nicholas Daniel Ahumada.
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