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Shelley A Moreno

Charles Schwab & CO., Inc.

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About Shelley A Moreno

Shelley Moreno is a financial advisor with over 25 years of experience in the industry. Shelley is currently registered with Charles Schwab & CO., Inc.. Shelley has previously been registered with a variety of firms over their career. Shelley has passed the Series 10, Series 63, Series 7, Series 9, Series 99TO, SIE exams. Shelley also holds the Series 10, Series 9 designation. Shelley specializes in 1, 4 and provides advisory services to brokerage clients, helping them navigate securities trading and financial markets.

Firm Information

Shelley Moreno is currently registered with Charles Schwab & CO., Inc.. Charles Schwab & CO., Inc. is a corporation formed in April 1971. They are headquartered in San Francisco, CA and have a presence in all 50 states, Puerto Rico, and the Virgin Islands. They provide financial planning, selection of other advisers, and wrap fee program services. Charles Schwab & CO., Inc. is a registered investment adviser with the SEC and is registered in 53 states. They have over 15,000 registered representatives and manage more than $50 billion in assets.
Charles Schwab & CO., Inc.

8040 South 48th Street

Phoenix, AZ 85044

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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Shelley Moreno’s Registration & Firm History

AZ

11/16/1999 - Present

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

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Licenses & Designations

BC

Issued 11/30/1999

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/17/2003

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 10/17/2003

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 1/2/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/15/1999

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 Shelley A Moreno.
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