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Stephanie Ann Surette

Charles Schwab & CO., Inc.

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About Stephanie Ann Surette

Stephanie Surette is an investment advisor representative with Charles Schwab & Co., Inc. located in Harvard, MA. Stephanie has over 15 years of experience in the financial industry, having worked previously with Commonwealth Financial Network in Waltham, MA. Stephanie has a wide range of knowledge and expertise in providing financial planning services, including selection of other advisors and working with wrap fee programs. Stephanie is a registered representative in Connecticut and has passed several industry exams, including Series 66, Series 53, Series 24, Series 7TO, SIE, and Series 7.

Firm Information

Stephanie Surette 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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Stephanie Surette’s Registration & Firm History

MA

11/16/2022 - Present

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

MA

09/14/2007 - 10/09/2015

COMMONWEALTH FINANCIAL NETWORK (WALTHAM MA)

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Licenses & Designations

BOTH

Issued 05/26/2010

Series 66 - Uniform Combined State Law Examination

BC

Issued 09/29/2010

Series 53 - Municipal Securities Principal Examination

BC

Issued 11/18/2009

Series 24 - General Securities Principal Examination

BC

Issued 06/28/2023

Series 7TO - General Securities Representative Examination

BC

Issued 10/09/2015

SIE - Securities Industry Essentials Examination

BC

Issued 09/13/2007

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 Stephanie Ann Surette.
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