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Nicole Anne Neumann

Charles Schwab & CO., Inc.

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About Nicole Anne Neumann

Nicole Neumann is a financial professional with over 17 years of experience in the industry. She currently works at Charles Schwab & CO., Inc. and is registered with FINRA and the state of Nebraska. Nicole has a strong background in the financial services industry, having previously worked at TD AMERITRADE, INC. and AMERITRADE, INC. Nicole holds several licenses and certifications, including the Series 66, Series 4, Series 24, Series 34, Series 3, and Series 7.

Firm Information

Nicole Neumann 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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Nicole Neumann’s Registration & Firm History

NE

01/19/2022 - Present

Charles Schwab & CO., Inc. (Omaha NE)

NE

04/22/2006 - 01/19/2022

TD AMERITRADE, INC. (BELLEVUE NE)

NE

09/27/2005 - 04/22/2006

AMERITRADE, INC. (BELLEVUE NE)

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Licenses & Designations

BOTH

Issued 10/10/2005

Series 66 - Uniform Combined State Law Examination

BC

Issued 12/28/2007

Series 4 - Registered Options Principal Examination

BC

Issued 09/14/2007

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/26/2012

Series 34 - Retail Off-Exchange FOREX Examination

BC

Issued 08/19/2011

Series 3 - National Commodity Futures Examination

BC

Issued 09/26/2005

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 Nicole Anne Neumann.
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