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Samuel Cesar Saucedo

Charles Schwab & CO., Inc.

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About Samuel Cesar Saucedo

Samuel Cesar Saucedo is a financial professional with over 25 years of experience in the industry. Samuel is currently registered with Charles Schwab & CO., Inc. and has previously held positions with SAGEPOINT FINANCIAL, INC., LPL FINANCIAL LLC, RAFFERTY CAPITAL MARKETS, LLC, SUN LIFE FINANCIAL DISTRIBUTORS, INC., IFMG SECURITIES, INC., SUN LIFE OF CANADA (U.S.) DISTRIBUTORS, INC., COMPASS BROKERAGE, INC., VAN KAMPEN FUNDS INC., DEAN WITTER REYNOLDS INC., and CHELSEA STREET SECURITIES, INC. Samuel has a strong background in securities and holds the Series 7, Series 63 and SIE licenses.

Firm Information

Samuel Saucedo 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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Samuel Saucedo’s Registration & Firm History

MA

07/22/2022 - Present

Charles Schwab & CO., Inc. (Boston MA)

AZ

12/11/2014 - 06/28/2022

SAGEPOINT FINANCIAL, INC. (SCOTTSDALE AZ)

CA

04/18/2007 - 11/10/2014

LPL FINANCIAL LLC (SAN DIEGO CA)

NY

05/15/2006 - 02/13/2007

RAFFERTY CAPITAL MARKETS, LLC (GARDEN CITY NY)

MA

08/13/2004 - 05/05/2006

SUN LIFE FINANCIAL DISTRIBUTORS, INC. (WELLESLEY HILLS MA)

NY

12/18/2002 - 08/31/2004

IFMG SECURITIES, INC. (PURCHASE NY)

MA

01/08/2002 - 12/31/2002

SUN LIFE OF CANADA (U.S.) DISTRIBUTORS, INC. (WELLESLEY HILLS MA)

AL

06/20/2001 - 10/19/2001

COMPASS BROKERAGE, INC. (BIRMINGHAM AL)

TX

09/20/1995 - 08/19/1999

VAN KAMPEN FUNDS INC. (HOUSTON TX)

NY

03/09/1993 - 10/27/1993

DEAN WITTER REYNOLDS INC. (PURCHASE NY)

NA

10/23/1992 - 01/27/1993

CHELSEA STREET SECURITIES, INC.

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Licenses & Designations

BC

Issued 09/18/1992

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/21/1992

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 Samuel Cesar Saucedo.
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