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Carolyn Smith
16 Years of Experience
Clayton, MO
1 DisclosureBroker
Carolyn Smith is a registered investment advisor at Charles Schwab & CO., INC., based in Clayton, MO, with 16 years of industry experience. Carolyn operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Investment Management, Retirement Planning.
Compensation
Fixed/Hourly
Firm Size
8109 advisors
Number of Clients
Not specified
Average Client Portfolio
Not specified
Fee Structure
Planning is included in investment management
Minimum Annual Fee:$1,000
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% |
Fee schedule effective October 1, 2024. Clients enrolled prior to this date may have grandfathered fee schedules. Fees may be negotiable for assets over $25 million.
Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
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Location
8455 Maryland Avenue, Suite 100, Clayton, MO, 63105-3646
Get directionsHistory
Regulatory History (1)
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Criminal
August 2007Final Disposition
Employment History
Current Registrations
Charles Schwab & CO., INC.Broker
June 2021 - Present · 4 yrs 10 mos
Charles Schwab & CO., INC.
May 2021 - Present · 4 yrs 11 mos
Previous Registrations
Oppenheimer & CO. INC.
February 2019 - April 2021 · 2 yrs 2 mos
Oppenheimer & CO. INC.Broker
February 2019 - April 2021 · 2 yrs 2 mos
Scottrade Investment Management
August 2017 - March 2018 · 7 mos
Scottrade, INC.Broker
August 2008 - March 2018 · 9 yrs 7 mos
State Registrations2 states
ILMO
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.