Carlsbad, CA Office
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Charles Schwab
Institution
Firm-wide stats for Charles Schwab
About
Charles Schwab & Co., Inc. serves a very large client base—primarily high‑ and ultra‑high‑net‑worth individuals and related accounts—through its Schwab Wealth Advisory wrap fee program and affiliated managed‑account and financial planning services. As a dual‑registered broker‑dealer and investment adviser, Schwab acts as program sponsor and custodian and provides bundled (wrap) advisory, brokerage, custody, and cash‑sweep services.
Schwab’s client relationship model for the SWA Program is primarily non‑discretionary: Schwab Wealth Advisory, Inc. (SWAI) provides periodic buy/sell and allocation recommendations while clients retain final decision‑making, and Schwab also offers access to discretionary SMAs (Schwab Wealth Portfolios) managed by an affiliate, Charles Schwab Investment Management (CSIM). Investment guidance is delivered using multi‑asset model portfolios with strategic asset allocation (and optional tactical tilts), written advice policies and periodic reviews, and Schwab Center for Financial Research due diligence on alternative investments available through its Alternative Investments Select program.
What is noteworthy about Schwab compared with many peers is its scale and integrated structure: it serves hundreds of thousands of clients through thousands of representatives and multiple wrap programs, which results in relatively high client coverage per advisor and centralized supervisory, custody, and order‑routing arrangements. Schwab also has a distinctive operational footprint for a wealth program — it combines non‑discretionary advisory relationships with access to affiliated discretionary SMAs, a formal alternative‑investment onboarding and placement process, and cash‑sweep mechanisms that vary by client residence.
Based on Charles Schwab
Expertise
Based on Charles Schwab
Location
Carlsbad CA
Advisors at this office
3
Advisors at this office
Gregory S
Series 63, Series 65
Carlsbad, CA
Charles Schwab
Gregory Starkey is a financial advisor at Charles Schwab with 10 years of industry experience. He holds Series 63 and Series 65 licenses and has previously worked at PFS Investments ONC, Primerica Financial Services, TD Ameritrade, and Scottrade. Outside of his advisory work, he is the founder and owner of Faith Inflatables, a small consumer-products venture focused on large decorative holiday inflatables. Charles Schwab & Co., Inc. serves a large client base primarily consisting of high- and ultra-high-net-worth individuals through its Schwab Wealth Advisory program, offering both non-discretionary and discretionary investment options supported by multi-asset model portfolios and centralized custody and order-routing services.
Mia A
Series 63, Series 66
Carlsbad, CA
Charles Schwab
Mia Amos is a financial advisor with Charles Schwab in Carlsbad, CA, holding Series 63 and Series 66 licenses and bringing 16 years of industry experience. She previously worked at TD Ameritrade for 17 years before joining Charles Schwab in 2022. Charles Schwab & Co., Inc. serves a large client base primarily made up of high- and ultra-high-net-worth individuals through its Schwab Wealth Advisory wrap fee program and related managed-account and financial planning services. The firm offers both non-discretionary and discretionary investment options, combining centralized custody and brokerage services with multi-asset portfolio management and alternative investment due diligence.
Joshua L
Series 65, Series 63
Carlsbad, CA
Charles Schwab
Joshua Lozano is a financial advisor with Charles Schwab, holding Series 65 and Series 63 licenses and having one year of industry experience. His prior work includes roles at Neubloc, Karl Strauss Brewing Company, The Cork & Craft Abnormal Brewery, and Starbucks. Charles Schwab & Co., Inc. serves primarily high- and ultra-high-net-worth individuals through its Schwab Wealth Advisory wrap fee program and affiliated managed-account and financial planning services. The firm combines non-discretionary advisory relationships with access to affiliated discretionary separately managed accounts and alternative investments, supported by a large-scale, integrated operational platform.
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