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Nicolas Calvi

Charles Schwab & CO., INC.
15 Years of Experience
Tacoma, WA
1 DisclosureBroker
View SEC Summary
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Nicolas Calvi is a registered investment advisor at Charles Schwab & CO., INC., based in Tacoma, WA, with 15 years of industry experience. Nicolas 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

1148 Broadway, Suite 110, Tacoma, WA, 98402-3589

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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.
Customer Dispute
January 2017
Denied
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Charles Schwab & CO., INC.
October 2013 - Present · 13 yrs
Charles Schwab & CO., INC.Broker
August 2011 - Present · 15 yrs 2 mos
Previous Registrations
TD Ameritrade, INC.Broker
June 2023 - May 2024 · 11 mos
State Registrations16 states
ALAZCACOFLIDINKYMINVORTNTXVAWAWI
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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