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Stacey Anne Ashbrook

Charles Schwab & CO., Inc.

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About Stacey Anne Ashbrook

Stacey Ashbrook is a financial professional with over 20 years of experience in the industry. Stacey currently works at Charles Schwab & Co., Inc. in Lone Tree, CO. Prior to joining Charles Schwab & Co., Inc., Stacey worked at TD AMERITRADE, INC., LPL FINANCIAL LLC, LEGENT CLEARING, SECURITIES AMERICA, INC., PRIMEVEST FINANCIAL SERVICES, INC., SALOMON SMITH BARNEY INC., and AMERITRADE. Stacey holds several licenses and certifications, including Series 4, 7, 24, 52TO, 53, 63, and 65. Stacey specializes in providing financial planning services and selection of other advisors.

Firm Information

Stacey Ashbrook 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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Stacey Ashbrook’s Registration & Firm History

CO

01/18/2022 - Present

Charles Schwab & CO., Inc. (Lone Tree CO)

NE

01/20/2022 - 12/20/2023

TD AMERITRADE, INC. (OMAHA NE)

NE

09/22/2014 - 01/19/2022

TD AMERITRADE, INC. (OMAHA NE)

NE

07/17/2012 - 10/03/2014

LPL FINANCIAL LLC (OMAHA NE)

NE

11/16/2009 - 03/05/2012

LEGENT CLEARING (OMAHA NE)

NE

03/28/2007 - 02/12/2009

SECURITIES AMERICA, INC. (LAVISTA NE)

NE

03/28/2002 - 04/10/2007

PRIMEVEST FINANCIAL SERVICES, INC. (OMAHA NE)

NY

03/24/2000 - 04/20/2000

SALOMON SMITH BARNEY INC. (NEW YORK NY)

NE

07/21/1999 - 02/23/2000

AMERITRADE (BELLEVUE NE)

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Licenses & Designations

IA

Issued 08/08/2007

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 07/22/1999

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/07/2008

Series 4 - Registered Options Principal Examination

BC

Issued 02/27/2008

Series 53 - Municipal Securities Principal Examination

BC

Issued 09/29/1999

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/20/1999

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 Stacey Anne Ashbrook.
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