Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rachel? Claim Your ProfileRachel Brown is a financial professional with over 30 years of experience in the financial services industry. Rachel is currently registered with Charles Schwab & CO., Inc. and has previously worked for SCOTTRADE, INC., CHARLES SCHWAB & CO., INC., SCHONFELD SECURITIES, LLC, QUEST CAPITAL STRATEGIES, INC. and CHARLES SCHWAB & CO., INC.. Rachel holds licenses for Series 7, 63, 66, 8, 9, 10, 24, 55, 57TO and SIE exams. Rachel is registered in Indiana and California for both securities and investment advisory activities. Rachel's areas of expertise include financial planning and investment management, including wrap fee program sponsorship and financial planning advisor referral programs.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Set rates for specific services, regardless of time or assets managed.
Asset based fees for wrap pgrms & subsc pricing for fin planning
1
2
IN
08/02/2011 - Present
Charles Schwab & CO., Inc. (Indianapolis IN)
CA
09/25/2003 - 07/31/2006
SCOTTRADE, INC. (LOS ANGELES CA)
TX
05/13/2002 - 09/17/2003
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
NY
07/17/2000 - 04/05/2002
SCHONFELD SECURITIES, LLC (JERICHO NY)
CA
07/10/1998 - 07/07/2000
QUEST CAPITAL STRATEGIES, INC. (LAGUNA HILLS CA)
TX
10/07/1988 - 08/26/1996
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
BOTH
Issued 08/01/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/27/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 03/27/2004
Series 24 - General Securities Principal Examination
BC
Issued 11/21/1995
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/13/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 09/17/1988
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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