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Stephen Matthew Schmidt

Charles Schwab & CO., Inc.

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About Stephen Matthew Schmidt

Stephen Matthew Schmidt is a financial advisor registered with Charles Schwab & CO., Inc.. Stephen has been working in the financial industry since 2005 and has experience with TD AMERITRADE, INC., MORGAN STANLEY DW INC., METLIFE SECURITIES INC., and METROPOLITAN LIFE INSURANCE COMPANY. Stephen is also a registered Investment Advisor Representative in the state of Maryland. Stephen has a combined State Law Examination (Series 66) and holds the following FINRA licenses: Series 31, Series 7, and Series 6.

Firm Information

Stephen Schmidt 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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Stephen Schmidt’s Registration & Firm History

MD

01/26/2022 - Present

Charles Schwab & CO., Inc. (Towson MD)

MD

07/11/2006 - 07/29/2024

TD AMERITRADE, INC. (Towson MD)

NY

07/08/2005 - 06/06/2006

MORGAN STANLEY DW INC. (PURCHASE NY)

MA

02/24/2005 - 07/05/2005

METLIFE SECURITIES INC. (SPRINGFIELD MA)

NY

02/24/2005 - 07/05/2005

METROPOLITAN LIFE INSURANCE COMPANY (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 10/19/2005

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/26/2005

Series 31 - Futures Managed Funds Examination

BC

Issued 09/26/2005

Series 7 - General Securities Representative Examination

BC

Issued 02/23/2005

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There is public disclosure for Stephen Matthew Schmidt. Review regulatory record here.
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