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Nicola De pinto

Charles Schwab & CO., Inc.

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About Nicola De pinto

Nicola De pinto is a Registered Representative and Investment Advisor Representative with Charles Schwab & CO., Inc.. Nicola has been in the financial services industry since 2006. Nicola holds licenses Series 66, Series 24, SIE and Series 7, and specializes in financial planning, portfolio management, and selection of other advisors. Nicola has experience with Fidelity Brokerage Services LLC and AXA Advisors, LLC. Nicola is also a Managing Member of K&D of NJ, LLC, a company that sells wholesale pool products.

Firm Information

Nicola De pinto 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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Nicola De pinto’s Registration & Firm History

NJ

03/23/2021 - Present

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

NJ

08/16/2013 - 10/28/2019

FIDELITY BROKERAGE SERVICES LLC (BRIDGEWATER NJ)

NJ

06/07/2006 - 08/13/2013

AXA ADVISORS, LLC (WOODBRIDGE NJ)

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Licenses & Designations

BOTH

Issued 06/28/2006

Series 66 - Uniform Combined State Law Examination

BC

Issued 02/04/2009

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/06/2006

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 Nicola De pinto.
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