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Thomas Alexander Franco

Charles Schwab & CO., Inc.

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About Thomas Alexander Franco

Thomas Alexander Franco is a financial advisor with Charles Schwab & CO., Inc. Thomas has over 2 years of experience in the financial services industry. Thomas is registered with the state of Colorado as an investment advisor representative. Thomas also holds the Series 66, Series 10 and Series 9 licenses. Thomas has worked for Ameriprise Financial Services, LLC, and has been with Charles Schwab & CO., Inc. since January 2022.

Firm Information

Thomas Franco 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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Thomas Franco’s Registration & Firm History

AZ

03/06/2022 - Present

Charles Schwab & CO., Inc. (Phoenix AZ)

CO

06/21/2021 - 02/07/2022

AMERIPRISE FINANCIAL SERVICES, LLC (Colorado Springs CO)

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Licenses & Designations

BOTH

Issued 10/04/2021

Series 66 - Uniform Combined State Law Examination

BC

Issued 12/09/2022

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 09/12/2022

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 06/21/2021

Series 7TO - General Securities Representative Examination

BC

Issued 04/26/2021

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Thomas Alexander Franco.
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