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Nicholas Francis Caruso

Charles Schwab & CO., Inc.

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About Nicholas Francis Caruso

Nicholas Caruso is a financial advisor with Charles Schwab & CO., Inc. located in Princeton, NJ. Nicholas has been in the industry since 2008 and has been registered with the state of New Jersey since 2013. Nicholas also holds registrations in Texas and is licensed to offer investment advisory services in Arizona, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Illinois, Kansas, Maine, Maryland, Massachusetts, Michigan, Minnesota, Missouri, Nevada, New Hampshire, New Jersey, New York, North Carolina, Pennsylvania, Rhode Island, South Carolina, Tennessee, Texas, Utah, Vermont, Virginia, Washington, and Wyoming. Nicholas has earned the Series 7 and Series 66 licenses and the Securities Industry Essentials Exam. Nicholas is an active investment advisor representative and is available to provide financial planning and portfolio management services.

Firm Information

Nicholas Caruso 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 Caruso’s Registration & Firm History

NJ

01/02/2019 - Present

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

PA

03/21/2008 - 08/05/2008

AXA ADVISORS, LLC (BALA CYNWYD PA)

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Licenses & Designations

BOTH

Issued 07/18/2008

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/20/2008

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 Francis Caruso.
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