Unclaimed
Theo Taft Schwabacher is an active registered representative with Wealthpenn.comllc in San Francisco, California. Theo has been in the industry since 1983, and has worked for a number of firms including Morgan Stanley & Co. Incorporated, Morgan Stanley DW Inc. and Cowen & Co. Theo specializes in providing asset allocation advice, financial planning, pension consulting, and portfolio management for individuals, businesses and investment companies. Theo is registered with the Financial Industry Regulatory Authority (FINRA) and holds Series 7, Series 63 and SIE licenses. Theo also serves on the Board of Directors of The Buck Institute.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
CA
06/01/2009 - Present
Wealthpenn.comllc (San Francisco CA)
CA
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (SAN FRANCISCO CA)
CA
01/25/1983 - 04/02/2007
MORGAN STANLEY DW INC. (SAN FRANCISCO CA)
NA
01/25/1983 - 03/21/1983
COWEN & CO.
BC
Issued 1/22/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 1/15/1983
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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