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Tobias Robert Dufek

Charles Schwab & CO., Inc.

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About Tobias Robert Dufek

Tobias Dufek is an Investment Advisor Representative registered with Charles Schwab & CO., Inc. in Arizona and California since 2006. Tobias has also been registered with the state of Texas since 2019. Tobias has been in the financial industry since 2006. Tobias currently works in the Phoenix, Arizona branch office of Charles Schwab & CO., Inc.. Tobias is also registered as an Investment Advisor Representative with Charles Schwab & CO., Inc. in Arizona and California, as well as a Registered Investment Advisor with OptionsXpress, Inc. Tobias has passed Series 63, Series 66, Series 7 and Series 9 exams.

Firm Information

Tobias Dufek 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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Tobias Dufek’s Registration & Firm History

AZ

01/02/2019 - Present

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

AZ

09/02/2011 - 11/29/2012

OPTIONSXPRESS, INC. (PHOENIX AZ)

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Licenses & Designations

BOTH

Issued 10/27/2011

Series 66 - Uniform Combined State Law Examination

BC

Issued 05/15/2006

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/08/2007

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/03/2006

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 Tobias Robert Dufek.
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