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Maureen Parker

Charles Schwab & CO., INC.
29 Years of Experience
Saratoga Springs, NY
1 DisclosureBroker
View SEC Summary
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Maureen Parker is a registered investment advisor at Charles Schwab & CO., INC., based in Saratoga Springs, NY, with 29 years of industry experience. Maureen 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.

Charles Schwab & CO., INC.
Compensation
Fixed/Hourly
Firm Size
8406 advisors
Number of Clients
Not specified
Average Client Portfolio
Not specified

Fee Structure

Planning is included in investment management
Minimum Annual Fee:$4,000
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $1.0M0.80%
$1.0M - $2.0M0.75%
$2.0M - $5.0M0.70%
$5.0M - $10.0M0.50%
$10.0M - $25.0M0.30%
$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
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

46 Marion Ave, Saratoga Springs, NY, 12866

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Judgment / Lien
July 2026
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Maureen is a member of the Action Council for the Saratoga Performing Arts Center (SPAC), participating in the marketing committee for fundraising events. This takes about 10-20% of her time.

Employment History
Current Registrations
Charles Schwab & CO., INC.
December 2016 - Present · 9 yrs 10 mos
Charles Schwab & CO., INC.Broker
November 2016 - Present · 9 yrs 11 mos
Previous Registrations
Morgan Stanley
June 2011 - November 2016 · 5 yrs 5 mos
Morgan StanleyBroker
June 2011 - November 2016 · 5 yrs 5 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
August 2007 - June 2011 · 3 yrs 10 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
May 2007 - June 2011 · 4 yrs 1 mo
Credit Lyonnais Securities (USA), INC.Broker
September 1998 - October 2000 · 2 yrs 1 mo
Punk, Ziegel & Company, L.P.Broker
February 1996 - September 1998 · 2 yrs 7 mos
Mcdonald & Company Securities, INC.Broker
April 1994 - November 1995 · 1 yr 7 mos
Conning & CompanyBroker
September 1991 - March 1994 · 2 yrs 6 mos
Fidelity Brokerage Services, INC.Broker
March 1990 - September 1991 · 1 yr 6 mos
State Registrations47 states
AKALARAZCACOCTDCFLGAHIIAIDILINKSKYLAMAMDMIMNMOMSMTNCNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTWAWY
AdvisorBrokerBoth

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
No exam information available for this advisor.
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