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Spencer William Kozmata

Schwab Wealth Advisory, Inc.

Lone Tree, CO

CRD 6657086

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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
CO RA APPROVED 2024-08-27
TX RA APPROVED_RES 2024-08-27
  • CO RA
    APPROVED
    Since 2024-08-27
  • TX RA
    APPROVED_RES
    Since 2024-08-27

Branch Locations

9800 Schwab Way, Lone Tree, CO 80124 • 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
Raymond James Financial Services, Inc. Lone Tree CO 01/2020 06/2021
Chatham Financial Littleton CO 05/2019 08/2019
Raymond James Financial Services, Inc. Lone Tree CO 05/2017 08/2017
University Of Colorado Boulder CO 08/2015 12/2019
Charles Schwab & Co., Inc. Lone Tree CO 06/2021 Present
Schwab Wealth Advisory, Inc Lone Tree CO 08/2024 Present
  • 01/2020 → 06/2021
    Raymond James Financial Services, Inc.
    Lone Tree, CO
  • 05/2019 → 08/2019
    Chatham Financial
    Littleton, CO
  • 05/2017 → 08/2017
    Raymond James Financial Services, Inc.
    Lone Tree, CO
  • 08/2015 → 12/2019
    University Of Colorado
    Boulder, CO
  • 06/2021 → Present
    Charles Schwab & Co., Inc.
    Lone Tree, CO
  • 08/2024 → Present
    Schwab Wealth Advisory, Inc
    Lone Tree, CO
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-08-07
  • S66 Uniform Combined State Law Examination
    2020-08-07
Designations
  • Certified Financial Planner

View on SEC IAPD

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