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Patrick Phinney

Charles Schwab & CO., INC.
30 Years of Experience
Richfield, OH
3 DisclosuresBroker
View SEC Summary
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Patrick Phinney is a registered investment advisor at Charles Schwab & CO., INC., based in Richfield, OH, with 30 years of industry experience. Patrick 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
8343 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

4150 Kinross Lakes Pkwy, Richfield, OH, 44286

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History

Regulatory History (3)
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.
Customer Dispute
December 2013
Settled
Customer Dispute
February 2008
Denied
Criminal
December 1993
Final Disposition
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Patrick is a kayak/canoe instructor with Honu Company since 2013, dedicating about 10-20% of his time. He is also a self-employed author writing books about whitewater safety since 2007, spending various hours per month.

Employment History
Current Registrations
Charles Schwab & CO., INC.
March 2006 - Present · 20 yrs 7 mos
Charles Schwab & CO., INC.Broker
March 2006 - Present · 20 yrs 7 mos
Previous Registrations
Optionsxpress, INC.Broker
November 2016 - November 2017 · 1 yr
T. Rowe Price Advisory Services, INC.
January 2006 - February 2006 · 1 mo
T. Rowe Price Investment Services, INC.Broker
June 2005 - February 2006 · 8 mos
Charles Schwab & CO., INC.Broker
September 1995 - September 2004 · 9 yrs
Joseph Charles & Assoc., INC.Broker
June 1995 - July 1995 · 1 mo
Chatfield Dean & CO., INC.Broker
February 1995 - April 1995 · 2 mos
State Registrations53 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTVirgin IslandsWAWIWVWY
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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