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Roy E McClung

Charles Schwab & CO., Inc.

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About Roy E McClung

Roy McClung is a financial professional with over 27 years of experience in the industry. Roy is currently registered with Charles Schwab & Co., Inc. and has held previous positions at firms such as USAA Investment Services Company, USAA Financial Advisors, Inc., TD Ameritrade, Inc., Scottrade, Inc., Vanguard Marketing Corporation, Edward Jones, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Capital Brokerage Corporation and Prudential Securities Incorporated. Roy holds various licenses and certifications, including Series 63, Series 66, Series 7 and Series 8. Roy is a licensed advisor in several states across the US.

Firm Information

Roy McClung 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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Roy McClung’s Registration & Firm History

AZ

08/20/2020 - Present

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

AZ

06/08/2020 - 07/22/2020

USAA INVESTMENT SERVICES COMPANY (Phoenix AZ)

AZ

11/21/2019 - 06/08/2020

USAA FINANCIAL ADVISORS, INC. (PHOENIX AZ)

AL

03/13/2018 - 08/14/2019

TD AMERITRADE, INC. (BIRMINGHAM AL)

AZ

11/02/2015 - 03/13/2018

SCOTTRADE, INC. (PHOENIX AZ)

AZ

08/22/2014 - 11/09/2015

VANGUARD MARKETING CORPORATION (SCOTTSDALE AZ)

AZ

05/18/2012 - 07/29/2014

EDWARD JONES (FOUNTAIN HILLS AZ)

AZ

09/27/2010 - 05/18/2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SCOTTSDALE AZ)

VA

06/28/2010 - 09/17/2010

CAPITAL BROKERAGE CORPORATION (GLEN ALLEN VA)

AZ

10/31/2006 - 03/18/2010

CHARLES SCHWAB & CO., INC. (PHOENIX AZ)

AZ

01/07/2004 - 10/10/2006

BANC OF AMERICA INVESTMENT SERVICES, INC. (PHOENIX AZ)

NY

08/29/2001 - 03/07/2002

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

TX

09/24/1993 - 08/03/2001

CHARLES SCHWAB & CO., INC. (WESTLAKE TX)

CO

12/07/1992 - 08/10/1993

CHATFIELD DEAN & CO., INC. (GREENWOOD VILLAGE CO)

NJ

10/30/1992 - 01/04/1993

PRUCO SECURITIES CORPORATION (NEWARK NJ)

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Licenses & Designations

BOTH

Issued 01/29/2004

Series 66 - Uniform Combined State Law Examination

BC

Issued 06/15/1992

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 04/28/1998

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

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/28/1992

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There is public disclosure for Roy E McClung. Review regulatory record here.
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