Guillermo Roses
Guillermo Roses is a ChFC-designated registered investment advisor at Charles Schwab & CO., INC., based in Stockton, CA, with 36 years of industry experience. Guillermo is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, High Net Worth, Insurance Planning, and 3 more.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $1.0M | 0.80% |
| $1.0M - $2.0M | 0.75% |
| $2.0M - $5.0M | 0.70% |
| $5.0M - $10.0M | 0.50% |
| $10.0M - $25.0M | 0.30% |
| $25M+ | 0.30% |
Fees for assets over $25 million are negotiable. A grandfathered schedule exists for clients enrolled prior to October 1, 2024.
Fee Estimator
Location
3101 W. March Lane, Suite A, Stockton, CA, 95219-2303
Get directionsHistory
Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Guillermo receives residual commission payments from insurance policies sold 20 years ago, earning $1500 annually. He does not actively participate in or service these policies, dedicating minimal time to this activity.
Employment History
Current Registrations
Charles Schwab & CO., INC.
Charles Schwab & CO., INC.Broker
Previous Registrations
Morgan Stanley
Morgan StanleyBroker
E*trade Capital Management, LLC
E*trade Securities LLCBroker
Metlife Securities INC.Broker
MML Investors Services, INC.
MML Investors Services, INC.Broker
Monarch Securities, INC.Broker
State Registrations10 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
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