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Vincent Michael Ottaviano

Charles Schwab & CO., Inc.

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About Vincent Michael Ottaviano

Vincent Ottaviano is a financial professional with over 8 years of experience in the financial services industry. He has worked with a variety of firms including Waddell & Reed, Ameriprise Financial Services, Inc., and TD Ameritrade. Vincent Ottaviano is currently a Registered Representative with Charles Schwab & Co., Inc. Vincent Ottaviano has a Series 6, 7, 63, and 65 licenses and holds the Certified Financial Planner designation. Vincent Ottaviano is committed to providing his clients with comprehensive financial planning and investment advice.

Firm Information

Vincent Ottaviano 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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Vincent Ottaviano’s Registration & Firm History

NV

09/13/2021 - Present

Charles Schwab & CO., Inc. (Las Vegas NV)

NV

12/07/2018 - 10/20/2021

TD AMERITRADE, INC. (LAS VEGAS NV)

NV

04/06/2017 - 11/23/2018

AMERIPRISE FINANCIAL SERVICES, INC. (Las Vegas NV)

NV

02/16/2016 - 03/23/2017

WADDELL & REED (LAS VEGAS NV)

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Licenses & Designations

IA

Issued 04/21/2016

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 03/15/2016

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/19/2017

Series 7 - General Securities Representative Examination

BC

Issued 02/16/2016

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Vincent Michael Ottaviano.
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