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Stuart Scott Lempert

Charles Schwab & CO., Inc.

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About Stuart Scott Lempert

Stuart Lempert is a financial advisor who has been working in the industry since 1992. Stuart is currently registered with Charles Schwab & Co., Inc. in New York. Stuart has previously been registered with TD Ameritrade, Inc., All-Tech Investment Group, Inc., Investors Associates, Inc., LT Lawrence & Co., Inc., Berkeley Securities Corporation, Commonwealth Associates, South Richmond Securities, Inc., and First Investors Corporation. Stuart holds the following licenses: Series 6, Series 7, Series 9, Series 10, Series 24, and SIE. Stuart provides financial planning services to individuals. Stuart has a special interest in helping clients with both investment and retirement planning.

Firm Information

Stuart Lempert 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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Stuart Lempert’s Registration & Firm History

NY

04/22/2021 - Present

Charles Schwab & CO., Inc. (New York City NY)

NY

02/08/2022 - 05/19/2024

TD AMERITRADE, INC. (NEW YORK NY)

NJ

06/25/1997 - 01/22/1998

ALL-TECH INVESTMENT GROUP, INC. (MONTVALE NJ)

NJ

07/09/1996 - 06/04/1997

INVESTORS ASSOCIATES, INC. (HACKENSACK NJ)

NY

09/29/1994 - 02/07/1995

LT LAWRENCE & CO., INC. (NEW YORK NY)

NY

02/22/1993 - 09/02/1994

BERKELEY SECURITIES CORPORATION (NEW YORK NY)

NY

08/17/1991 - 02/02/1993

COMMONWEALTH ASSOCIATES (NEW YORK NY)

NA

01/08/1991 - 07/05/1991

SOUTH RICHMOND SECURITIES, INC.

NJ

08/14/1990 - 09/12/1990

FIRST INVESTORS CORPORATION (EDISON NJ)

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Licenses & Designations

BC

Issued 08/08/1990

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/28/1999

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 11/22/1999

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 03/24/1994

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/26/1990

Series 7 - General Securities Representative Examination

BC

Issued 08/13/1990

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Stuart Scott Lempert.
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