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Rick Allen Fine

Charles Schwab & CO., Inc.

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About Rick Allen Fine

Rick Allen Fine is an investment advisor representative registered with Charles Schwab & Co., Inc. Rick has been in the industry since 1992. Rick has registrations in several states and has previously worked for Morgan Stanley Smith Barney, Morgan Stanley DW Inc., American Express Financial Advisors Inc., and IDS Life Insurance Company.

Firm Information

Rick Fine 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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Rick Fine’s Registration & Firm History

AZ

01/13/2011 - Present

Charles Schwab & CO., Inc. (Phoenix AZ)

AR

02/08/2010 - 01/12/2011

MORGAN STANLEY SMITH BARNEY (FAYETTEVILLE AR)

NY

09/20/1999 - 08/06/2004

MORGAN STANLEY DW INC. (PURCHASE NY)

MN

11/21/1986 - 09/22/1999

AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)

MN

11/21/1986 - 09/22/1999

IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)

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Licenses & Designations

BOTH

Issued 03/04/2010

Series 66 - Uniform Combined State Law Examination

BC

Issued 12/10/1992

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/04/2010

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 Rick Allen Fine.
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