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Trey Anthony Nicosia

Charles Schwab & Co., Inc.

New York City, NY

CRD 6402224

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Employer firm

Charles Schwab & Co., Inc. CRD 5393

955,800 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Selection of other advisers
  • WRAP FEE PROGRAM SPONSOR AND FINANCIAL PLANNING ADVISOR REFERRAL PROGRAM

From the firm’s Form ADV. Read the guides:

Current Employers
Charles Schwab & Co., Inc.

425 Market Street 17Th Floor, San Francisco, CA 94105 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2023-06-05
TX RA APPROVED 2023-06-05
  • NY RA
    APPROVED
    Since 2023-06-05
  • TX RA
    APPROVED
    Since 2023-06-05

Branch Locations

915 Broadway Ground Floor, New York City, NY 10010 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Financial Services Inc Weehawken NJ 06/2016 05/2023
Charles Schwab & Co, Inc New York NY 05/2023 Present
Charles Schwab Bank, Ssb New York NY 05/2023 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-07-08
S63 Uniform Securities Agent State Law Examination 2016-02-08
  • S66 Uniform Combined State Law Examination
    2016-07-08
  • S63 Uniform Securities Agent State Law Examination
    2016-02-08
Designations
  • Certified Financial Planner
Other Names
  • Trey A Nicosia

View on SEC IAPD

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Nearby Offices

HIGHTOWER ADVISORS, LLC · New York City, NY
CIBC PRIVATE WEALTH ADVISORS, INC. · New York, NY
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · NEW YORK, NY

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