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Roc Faillaci

Charles Schwab & CO., Inc.

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About Roc Faillaci

Roc Faillaci is a financial advisor with over 25 years of experience in the industry. Roc is currently registered with Charles Schwab & CO., Inc., a firm with over 15,000 registered representatives and over $50 billion in assets under management. Roc has been with Charles Schwab since 1998. Roc specializes in providing financial planning services, including wealth management and investment planning. Roc also participates in Charles Schwab’s Wrap Fee Program, which allows Roc to offer a wide range of investment services and products to clients. Roc also participates in Charles Schwab's Financial Planning Advisor Referral Program.

Firm Information

Roc Faillaci 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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Roc Faillaci’s Registration & Firm History

AZ

05/24/2006 - Present

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

NE

12/02/2022 - 05/19/2024

TD AMERITRADE, INC. (OMAHA NE)

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Licenses & Designations

BOTH

Issued 03/21/2002

Series 66 - Uniform Combined State Law Examination

BC

Issued 07/02/1998

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/06/2001

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 04/30/2001

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/10/1998

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 Roc Faillaci.
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