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William Kirk Richardson

Charles Schwab & CO., Inc.

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About William Kirk Richardson

William Kirk Richardson is a financial advisor with over 20 years of experience in the industry. William has been with Charles Schwab & CO., Inc. since 1997 and is registered to provide investment advice in Texas. William's areas of expertise include Financial Planning and Referral Programs. William is also registered with FINRA and is a Series 7, 9, 10, 31, and 63 license holder. William is also a Series 65 license holder and is registered as an Investment Advisor Representative in Texas.

Firm Information

William Richardson 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 Richardson’s Registration & Firm History

TX

05/16/1997 - Present

Charles Schwab & CO., Inc. (The Woodlands TX)

NY

03/20/1996 - 02/07/1997

DEAN WITTER REYNOLDS INC. (PURCHASE NY)

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Licenses & Designations

IA

Issued 04/01/1996

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 03/25/1996

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 02/21/2000

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 11/29/1999

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/29/1996

Series 31 - Futures Managed Funds Examination

BC

Issued 03/19/1996

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 Kirk Richardson. Review regulatory record here.
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