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Carolyn Ngo

Schwab Wealth Advisory, Inc.

Bellevue, WA

CRD 5442405

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Employer firm

Schwab Wealth Advisory, Inc. CRD 159035

168,774 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)

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

Current Employers
Schwab Wealth Advisory, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
WA RA APPROVED 2025-02-01
TX RA APPROVED 2024-12-09
  • WA RA
    APPROVED
    Since 2025-02-01
  • TX RA
    APPROVED
    Since 2024-12-09

Branch Locations

11100 Ne 8Th St. Suite#300, Bellevue, WA 98004 • 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
Usaa Financial Advisors, Inc. San Antonio TX 10/2007 05/2020
Usaa Financial Planning Services San Antonio TX 01/2011 05/2020
Self Employed-Rental Property San Antonio TX 08/2016 05/2018
Usaa Investment Management Company San Antonio TX 01/2018 05/2020
Self-Employed San Antonio TX 04/2014 06/2021
Charles Schwab & Co., Inc. Bellevue WA 05/2020 Present
Charles Schwab Bank, Ssb San Antonio TX 05/2020 12/2024
Schwab Wealth Advisory, Inc. Bellevue WA 12/2024 Present
  • 10/2007 → 05/2020
    Usaa Financial Advisors, Inc.
    San Antonio, TX
  • 01/2011 → 05/2020
    Usaa Financial Planning Services
    San Antonio, TX
  • 08/2016 → 05/2018
    Self Employed-Rental Property
    San Antonio, TX
  • 01/2018 → 05/2020
    Usaa Investment Management Company
    San Antonio, TX
  • 04/2014 → 06/2021
    Self-Employed
    San Antonio, TX
  • 05/2020 → Present
    Charles Schwab & Co., Inc.
    Bellevue, WA
  • 05/2020 → 12/2024
    Charles Schwab Bank, Ssb
    San Antonio, TX
  • 12/2024 → Present
    Schwab Wealth Advisory, Inc.
    Bellevue, WA
Previous Registrations
  • 2018-01-08 → 2020-05-24
    Usaa Investment Services Company
    San Antonio, TX
  • 2011-02-03 → 2018-01-08
    Usaa Financial Planning Services
    San Antonio, TX
    Alexandria, VA
    San Antonio, TX
    Everett, WA
    Newport, RI
    San Antonio, TX
    Helotes, TX
    Helotes, TX
  • 2008-03-27 → 2011-02-07
    Usaa Investment Services Company
    San Antonio, TX
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-03-04
  • S66 Uniform Combined State Law Examination
    2008-03-04
Designations
  • Certified Financial Planner

View on SEC IAPD

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