Mark-Vincent Morales
Mark-Vincent Morales is a registered investment advisor at Charles Schwab & CO., INC., based in Cary, NC, with 22 years of industry experience. Mark-Vincent 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
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% |
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
Location
223 Weston Parkway, Cary, NC, 27513
Get directionsHistory
Regulatory History (6)
Financial
April 2018Financial
June 2017Financial
March 2017Financial
January 2017Financial
January 2017Financial
September 2016Other Business Activities
Mark-Vincent is involved in the retail sale of goods, including collectibles and collectible sneakers, since April 2021. This activity requires about 10-20% of his time and does not occur during trading hours.
Employment History
Current Registrations
Charles Schwab & CO., INC.Broker
Charles Schwab & CO., INC.
Previous Registrations
Scottrade Investment Management
Scottrade, INC.Broker
State Registrations29 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.