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Richard Lee Malmberg

Schwab Wealth Advisory, Inc.

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About Richard Lee Malmberg

Richard Malmberg is a financial advisor with over 20 years of experience in the industry. Richard is currently registered with Schwab Wealth Advisory, Inc. in Florida and Texas. Richard previously worked at LPL FINANCIAL LLC, SunTrust Investment Services, Inc., and TD AMERITRADE, INC. Richard is a Series 63 and 65 licensed advisor and also holds Series 7, 8, and 31 licenses. Richard is a dedicated financial advisor committed to helping clients achieve their financial goals.

Firm Information

Richard Malmberg is currently registered with Schwab Wealth Advisory, Inc.. Schwab Wealth Advisory, Inc. is an investment advisory firm based in SAN FRANCISCO, CA, United States. The firm provides financial planning and portfolio management services to individuals, businesses, and high-net-worth individuals. They also offer a wrap fee program.
Schwab Wealth Advisory, Inc.

211 MAIN STREET

SAN FRANCISCO, CA 94105-1901

Not reported

Assets Under Management

141,801

Total Clients

904

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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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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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other

Swa program paid by wrap sponsor pursuant to cost plan formula.

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Richard Malmberg’s Registration & Firm History

FL

01/08/2020 - Present

Schwab Wealth Advisory, Inc. (Orlando FL)

FL

07/12/2013 - 08/09/2017

LPL FINANCIAL LLC (WINTER GARDEN FL)

FL

03/14/2007 - 07/16/2013

SUNTRUST INVESTMENT SERVICES, INC. (ORLANDO FL)

FL

11/22/1996 - 12/04/2006

TD AMERITRADE, INC. (ORLANDO FL)

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Licenses & Designations

IA

Issued 08/07/2001

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 12/18/1996

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 05/12/1999

Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)

BC

Issued 08/09/2017

SIE - Securities Industry Essentials Examination

BC

Issued 05/07/2008

Series 31 - Futures Managed Funds Examination

BC

Issued 11/21/1996

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 Lee Malmberg. Review regulatory record here.
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