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Nicholas Glenn

Charles Schwab Investment Management, INC
19 Years of Experience
Raleigh, NC
4 Disclosures
View SEC Summary
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Nicholas Glenn is a registered investment advisor at Charles Schwab Investment Management, INC, based in Raleigh, NC, with 19 years of industry experience. Nicholas operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management, Retirement Planning, Socially Responsible Investing. Their firm serves 856,597 clients with $1700B in assets under management.

Charles Schwab Investment Management, INC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
38 advisors
Number of Clients
856,597 clients
Average Client Portfolio
$2.0M average
Assets Under Management
$1721.0B

Fee Structure

Minimum Investment:$5K
Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $2.0M1.00%
$2.0M - $5.0M0.75%
$5M+0.60%

Schedule represents ThomasPartners Strategies fee structure for direct clients. Other strategies have different fee schedules (e.g., Windhaven charges 1.00% up to $5M, dropping to 0.50% above $50M; Schwab Personalized Indexing ranges from 0.15% to 0.25%; Wasmer Schroeder ranges from 0.07% to 0.75%).

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

434 Fayetteville St, 13th Floor, Raleigh, NC, 27601

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History

Regulatory History (4)
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.
Financial
September 2019
Final
Financial
February 2018
Final
Financial
June 2017
Final
Financial
February 2017
Final
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Nicholas works as a bartender for Legends Hospitality, serving beverages and meals and handling payments. This takes about 10-20% of his time.

Employment History
Current Registrations
Charles Schwab Investment Management, INC
January 2023 - Present · 3 yrs 9 mos
Previous Registrations
Charles Schwab & CO., INC.
January 2015 - December 2022 · 7 yrs 11 mos
Charles Schwab & CO., INC.Broker
January 2015 - December 2022 · 7 yrs 11 mos
T. Rowe Price Advisory Services, INC.
August 2010 - July 2014 · 3 yrs 11 mos
T. Rowe Price Investment Services, INC.Broker
April 2006 - July 2014 · 8 yrs 3 mos
State Registrations1 state
NC
Advisor

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Exams
No exam information available for this advisor.
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Nicholas Glenn - Financial Advisor | TrueAdvisor