John Todd Stempfle

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

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2020-01-08
CO	RA	APPROVED	2018-06-26

TX RA
APPROVED_RES

Since 2020-01-08
CO RA
APPROVED

Since 2018-06-26

Branch Locations

9800 Schwab Way, Lone Tree, CO 80124 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Charles Schwab & Co., Inc.	Lone Tree	CO	11/2015	Present
Schwab Wealth Advisory Inc	Lone Tree	CO	06/2018	Present

11/2015 → Present

Charles Schwab & Co., Inc.

Lone Tree, CO
06/2018 → Present

Schwab Wealth Advisory Inc

Lone Tree, CO

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2017-10-12
S63	Uniform Securities Agent State Law Examination	2016-03-28

S66 Uniform Combined State Law Examination

2017-10-12
S63 Uniform Securities Agent State Law Examination

2016-03-28

View on SEC IAPD