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William Joseph Pruett

Charles Schwab & CO., Inc.

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About William Joseph Pruett

William Pruett is a financial advisor currently working with Charles Schwab & CO., Inc. William is a registered representative of Charles Schwab & CO., Inc. in Arizona and Washington. Previously William Pruett was also registered with OPTIONSXPRESS, INC. and AXA ADVISORS, LLC. William has been active in the financial services industry since 2012. William holds the Series 7, Series 63, Series 66 and SIE exams.

Firm Information

William Pruett 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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William Pruett’s Registration & Firm History

AZ

06/25/2021 - Present

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

AZ

03/30/2017 - 10/18/2017

OPTIONSXPRESS, INC. (PHOENIX AZ)

AZ

09/17/2014 - 09/12/2017

CHARLES SCHWAB & CO., INC. (PHOENIX AZ)

CO

11/21/2013 - 07/07/2014

AXA ADVISORS, LLC (GRAND JUNCTION CO)

CO

06/29/2012 - 08/20/2013

AXA ADVISORS, LLC (GRAND JUNCTION CO)

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Licenses & Designations

BC

Issued 12/10/2021

Series 63 - Uniform Securities Agent State Law Examination

BOTH

Issued 08/02/2012

Series 66 - Uniform Combined State Law Examination

BC

Issued 06/25/2021

Series 7TO - General Securities Representative Examination

BC

Issued 10/18/2017

SIE - Securities Industry Essentials Examination

BC

Issued 06/28/2012

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There is public disclosure for William Joseph Pruett. Review regulatory record here.
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