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Scott Franklin Richey

Charles Schwab & CO., Inc.

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About Scott Franklin Richey

Scott Richey has been in the financial services industry since January 18, 1999. Scott is currently registered with Charles Schwab & CO., Inc. in Birmingham, MI and is also registered as an Investment Advisor Representative in Michigan. Previously, Scott has held positions at TD AMERITRADE, INC., HANTZ FINANCIAL SERVICES, INC., AMERICAN EXPRESS FINANCIAL ADVISORS INC., and IDS LIFE INSURANCE COMPANY. Scott holds Series 7, 63 and 66 licenses. Scott offers services such as financial planning, selection of other advisors, and a wrap fee program sponsor and financial planning advisor referral program.

Firm Information

Scott Richey 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 Richey’s Registration & Firm History

MI

01/26/2022 - Present

Charles Schwab & CO., Inc. (Birmingham MI)

MI

09/26/2008 - 05/19/2024

TD AMERITRADE, INC. (Birmingham MI)

MI

01/30/2001 - 08/25/2008

HANTZ FINANCIAL SERVICES, INC. (SOUTHFIELD MI)

MN

12/08/1998 - 01/18/2001

AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)

MN

12/08/1998 - 01/18/2001

IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)

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Licenses & Designations

BOTH

Issued 11/04/2008

Series 66 - Uniform Combined State Law Examination

BC

Issued 05/24/1999

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/03/1998

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 Scott Franklin Richey.
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