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Victoria Barbara De paolo

Charles Schwab & CO., Inc.

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About Victoria Barbara De paolo

Victoria Barbara De paolo is a Registered Representative with Charles Schwab & CO., Inc. and has been in the industry since July 1984. Victoria is licensed to provide financial advice in multiple states including New York, Texas and many others. Victoria also has a Series 66 license, as well as the Series 7, Series 4 and Series 24 licenses. She is a licensed broker and investment advisor representative. Her previous experience includes a role at KDC Merger Arbitrage Fund, LP. Victoria is a member of the Financial Industry Regulatory Authority (FINRA).

Firm Information

Victoria De paolo 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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Victoria De paolo’s Registration & Firm History

NY

01/04/2019 - Present

Charles Schwab & CO., Inc. (Scarsdale NY)

NY

03/22/1983 - 03/15/2011

KDC MERGER ARBITRAGE FUND, LP (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 06/27/2012

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/03/2009

Series 4 - Registered Options Principal Examination

BC

Issued 12/17/2008

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/16/1998

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 03/19/1983

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 Victoria Barbara De paolo.
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