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Ralph Pritchard Roberts

Charles Schwab & CO., Inc.

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About Ralph Pritchard Roberts

Ralph Pritchard Roberts is an active Registered Representative with Charles Schwab & Co., Inc. located in Omaha, Nebraska. Ralph has been in the industry since July 7, 1999. Prior to joining Charles Schwab, Ralph was previously registered with TD AMERITRADE, INC., TD AMERITRADE CLEARING, INC., LPL FINANCIAL CORPORATION, WELLS FARGO INVESTMENTS, LLC, and WELLS FARGO BROKERAGE SERVICES, L.L.C.

Firm Information

Ralph Roberts 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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Ralph Roberts’s Registration & Firm History

NE

01/23/2023 - Present

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

NE

05/08/2009 - 07/29/2024

TD AMERITRADE, INC. (OMAHA NE)

NE

01/15/2014 - 12/05/2017

TD AMERITRADE CLEARING, INC. (OMAHA NE)

NE

07/24/2006 - 05/11/2009

LPL FINANCIAL CORPORATION (OMAHA NE)

NE

12/13/2000 - 07/03/2006

WELLS FARGO INVESTMENTS, LLC (BELLEVUE NE)

MN

12/14/2000 - 03/14/2001

WELLS FARGO BROKERAGE SERVICES, L.L.C. (MINNEAPOLIS MN)

MN

06/18/1999 - 12/13/2000

WELLS FARGO BROKERAGE SERVICES, L.L.C. (MINNEAPOLIS MN)

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Licenses & Designations

IA

Issued 03/12/2004

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 07/15/1999

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/13/2012

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/25/1999

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 Ralph Pritchard Roberts.
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