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Steven Kenneth Umstead

Charles Schwab & CO., Inc.

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About Steven Kenneth Umstead

Steven Kenneth Umstead is a financial professional with over 30 years of experience in the industry. Steven has held various roles at several firms, including USAA Financial Advisors, Inc., Morgan Stanley Smith Barney, Citigroup Global Markets Inc., and Fidelity Brokerage Services LLC. Currently, Steven is an Investment Advisor Representative at Charles Schwab & Co., Inc. Steven is registered in 36 states and 2 territories. Steven is also a Certified Financial Planner.

Firm Information

Steven Umstead 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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Steven Umstead’s Registration & Firm History

MD

02/27/2024 - Present

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

VA

09/18/2013 - 05/24/2020

USAA FINANCIAL ADVISORS, INC. (Vienna VA)

NJ

08/28/2012 - 10/12/2012

BLACKBOOK CAPITAL LLC (HILLSIDE NJ)

VA

06/01/2009 - 02/07/2011

MORGAN STANLEY SMITH BARNEY (ALEXANDRIA VA)

VA

03/30/2007 - 06/01/2009

CITIGROUP GLOBAL MARKETS INC. (ALEXANDRIA VA)

DC

07/18/2000 - 04/04/2007

FIDELITY BROKERAGE SERVICES LLC (WASHINGTON DC)

MA

04/01/1998 - 06/28/2000

BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)

FL

02/07/1997 - 04/01/1998

BARNETT INVESTMENTS, INC. (JACKSONVILLE FL)

RI

02/25/1992 - 02/19/1997

FIDELITY BROKERAGE SERVICES, INC. (SMITHFIELD RI)

NA

08/03/1990 - 02/21/1992

F.N. WOLF & CO., INC.

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Licenses & Designations

IA

Issued 06/09/1999

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 08/09/1990

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/17/1997

Series 53 - Municipal Securities Principal Examination

BC

Issued 10/23/1997

Series 4 - Registered Options Principal Examination

BC

Issued 03/26/1997

Series 24 - General Securities Principal Examination

BC

Issued 05/31/1995

Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)

BC

Issued 01/02/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/02/1990

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 Steven Kenneth Umstead.
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