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Richard Braden Groff

Charles Schwab & CO., Inc.

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About Richard Braden Groff

Richard Groff is a financial advisor with over 23 years of experience in the industry. Richard has held positions at Merrill Lynch, Pierce, Fenner & Smith Incorporated and E*TRADE SECURITIES LLC. Richard currently works at Charles Schwab & CO., Inc. in Sandy Springs, GA and is licensed to provide investment advice in Georgia and Texas.

Firm Information

Richard Groff 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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Richard Groff’s Registration & Firm History

GA

01/02/2019 - Present

Charles Schwab & CO., Inc. (Sandy Springs GA)

GA

09/08/2004 - 12/12/2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CUMMING GA)

NJ

07/13/2000 - 08/10/2004

E*TRADE SECURITIES LLC (JERSEY CITY NJ)

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Licenses & Designations

IA

Issued 01/16/2002

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 07/31/2000

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/20/2010

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 08/25/2009

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 02/21/2001

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/12/2000

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There is public disclosure for Richard Braden Groff. Review regulatory record here.
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