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Scott A Kleinbaum

Charles Schwab & CO., Inc.

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About Scott A Kleinbaum

Scott Kleinbaum is a financial advisor with Charles Schwab & CO., Inc. Scott has been in the financial industry since 2005. Scott's areas of expertise include financial planning, portfolio management and selection of other advisors. Scott is registered with FINRA and is a registered investment advisor in Nevada and Texas. Scott has been a financial advisor with Charles Schwab & CO., Inc. since 2007. Prior to that, Scott was employed by Morgan Stanley & Co., Incorporated. Scott is an active member of the University of Nevada Planned Giving Advisory Council.

Firm Information

Scott Kleinbaum 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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Scott Kleinbaum’s Registration & Firm History

NV

01/02/2019 - Present

Charles Schwab & CO., Inc. (Reno NV)

NV

04/02/2007 - 11/01/2007

MORGAN STANLEY & CO., INCORPORATED (RENO NV)

NV

09/19/2005 - 04/02/2007

MORGAN STANLEY DW INC. (RENO NV)

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Licenses & Designations

BC

Issued 10/25/2005

Series 63 - Uniform Securities Agent State Law Examination

IA

Issued 10/21/2005

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/01/2005

Series 31 - Futures Managed Funds Examination

BC

Issued 09/16/2005

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There is public disclosure for Scott A Kleinbaum. Review regulatory record here.
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