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Robert Francis Diana

Charles Schwab & CO., Inc.

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About Robert Francis Diana

Robert Francis Diana is a financial advisor with Charles Schwab & Co., Inc.. Robert has over six years of experience in the financial services industry. Robert is registered with the state of New York as a registered representative and investment advisor representative. Robert has a Series 7, Series 63 and Series 65 licenses. Robert specializes in providing financial planning and portfolio management services. Robert has a strong track record of helping clients achieve their financial goals.

Firm Information

Robert Diana 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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Robert Diana’s Registration & Firm History

NY

11/10/2022 - Present

Charles Schwab & CO., Inc. (New York City NY)

MA

01/17/2019 - 11/23/2022

UBS FINANCIAL SERVICES INC. (Boston MA)

PA

09/11/2017 - 01/14/2019

VANGUARD MARKETING CORPORATION (MALVERN PA)

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Licenses & Designations

IA

Issued 02/26/2019

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 09/20/2017

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/11/2017

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 Robert Francis Diana.
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