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Adam Klopfenstein

Schwab Wealth Advisory, Inc.

Orlando, FL

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Current Employers
Schwab Wealth Advisory, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2023-05-24
TX RA APPROVED 2022-10-05
  • FL RA
    APPROVED
    Since 2023-05-24
  • TX RA
    APPROVED
    Since 2022-10-05

Branch Locations

1991 Summit Park Drive, Orlando, FL 32810 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Norridge IL 02/2016 11/2018
Bank Of America, N.A. Norridge IL 02/2016 11/2018
Fidelity Investments Chicago IL 03/2019 11/2020
Unemployed Chicago IL 12/2018 02/2019
Schwab Wealth Advisory Inc Orlando FL 08/2022 Present
Charles Schwab & Co Orlando FL 08/2022 Present
Rocket Companies Detroit MI 10/2021 08/2022
Na Lake Mary FL 11/2020 10/2021
  • 02/2016 → 11/2018
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Norridge, IL
  • 02/2016 → 11/2018
    Bank Of America, N.A.
    Norridge, IL
  • 03/2019 → 11/2020
    Fidelity Investments
    Chicago, IL
  • 12/2018 → 02/2019
    Unemployed
    Chicago, IL
  • 08/2022 → Present
    Schwab Wealth Advisory Inc
    Orlando, FL
  • 08/2022 → Present
    Charles Schwab & Co
    Orlando, FL
  • 10/2021 → 08/2022
    Rocket Companies
    Detroit, MI
  • 11/2020 → 10/2021
    Na
    Lake Mary, FL
Previous Registrations
  • 2019-07-18 → 2020-11-20
    Fidelity Personal And Workplace Advisors
    Chicago, IL
  • 2016-03-10 → 2018-12-13
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Chicago, IL
    Chicago, IL
    Norridge, IL
    Mount Prospect, IL
    Norridge, IL
    Norridge, IL
    Chicago, IL
    Norridge, IL
    Park Ridge, IL
  • 2015-11-04 → 2015-11-19
    Td Ameritrade, Inc.
    Chicago, IL
  • 2015-11-04 → 2015-11-19
    Td Ameritrade Investment Management, Llc
    Chicago, IL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-08-25
  • S66 Uniform Combined State Law Examination
    2015-08-25
Other Names
  • Adam Klopfenstein
  • Adam Beckett Klopfenstein

View on SEC IAPD

Other Firms

CHARLES SCHWAB & CO., INC.
TIMOTHY PARTNERS, LTD.
FIDUCIARY FIRST
WEALTHSPIRE RETIREMENT ADVISORY
CORNERSTONE TRUST MANAGEMENT SERVICES LLC
EDELMAN FINANCIAL ENGINES
FUND ADVISORS OF AMERICA INC
BROOKSTONE CAPITAL MANAGEMENT LLC

Other Investors

Christopher L Turner
CHRISTOPHER CARL BLOHM
James Hasting Benoit
AARON LEE PHELPS
Kevin S Murphy
Craig J Miller
Mark D Miller
Ricky M Parker

Other Offices

CHARLES SCHWAB & CO., INC. · Orlando, FL
SCHWAB WEALTH ADVISORY, INC. · Orlando, FL
SCHWAB WEALTH ADVISORY, INC. · Orlando, FL
SCHWAB WEALTH ADVISORY, INC. · Orlando, FL
SCHWAB WEALTH ADVISORY, INC. · Orando, FL
CHARLES SCHWAB & CO., INC. · Orlando, FL
SCHWAB WEALTH ADVISORY, INC. · Orlando, FL
CHARLES SCHWAB & CO., INC. · Orlando, FL

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