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Sui Tiong

Charles Schwab & CO., Inc.

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About Sui Tiong

Sui Tiong is an investment advisor representative with Charles Schwab & Co., Inc. Sui has been in the financial services industry since November 23, 1998. Sui is registered in 53 states and the District of Columbia. Before joining Charles Schwab, Sui worked at TD Ameritrade Investment Management, LLC and TD Ameritrade, Inc.

Firm Information

Sui Tiong 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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Sui Tiong’s Registration & Firm History

TX

10/04/2022 - Present

Charles Schwab & CO., Inc. (Westlake TX)

TX

04/22/2006 - 09/04/2023

TD AMERITRADE, INC. (Westlake TX)

TX

10/17/2005 - 04/22/2006

AMERITRADE, INC. (FORT WORTH TX)

TX

01/01/1997 - 11/24/2003

TREASURE FINANCIAL CORP. (RICHARDSON TX)

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Licenses & Designations

BOTH

Issued 10/03/2008

Series 66 - Uniform Combined State Law Examination

BC

Issued 02/06/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 04/27/2024

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/16/2017

Series 3 - National Commodity Futures Examination

BC

Issued 09/01/2005

Series 7 - General Securities Representative Examination

BC

Issued 12/27/1996

Series 11 - Assistant Representative-Order Processing Qualification Exam

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Sui Tiong.
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