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Pauline Mcleod Clarke

Charles Schwab & CO., Inc.

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About Pauline Mcleod Clarke

Pauline Mcleod Clarke is a financial professional with over 6 years of experience in the industry. Pauline currently works as a Registered Representative at Charles Schwab & Co., Inc. and is also registered with FINRA. Pauline has held previous roles at TD Ameritrade, Inc. and AXA Advisors, LLC.

Firm Information

Pauline Clarke 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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Pauline Clarke’s Registration & Firm History

NE

03/30/2023 - Present

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

CA

03/08/2018 - 07/29/2024

TD AMERITRADE, INC. (SAN DIEGO CA)

NE

05/21/2019 - 01/29/2021

TD AMERITRADE CLEARING, INC. (OMAHA NE)

CA

10/01/2015 - 05/02/2016

AXA ADVISORS, LLC (SAN DIEGO CA)

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Licenses & Designations

BOTH

Issued 11/22/2015

Series 66 - Uniform Combined State Law Examination

BC

Issued 05/20/2019

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/01/2015

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There is public disclosure for Pauline Mcleod Clarke. Review regulatory record here.
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