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Spencer Norman Phillips

Schwab Wealth Advisory, Inc.

Austin, TX

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Current Employers
Schwab Wealth Advisory, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2025-12-10
CO RA APPROVED 2023-01-17
  • TX RA
    APPROVED_RES
    Since 2025-12-10
  • CO RA
    APPROVED
    Since 2023-01-17

Branch Locations

11800 Schwab Way, Austin, TX 78758 • 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
Td Ameritrade 63105 IL 10/2018 06/2022
Hibbett Sports Alton IL 05/2018 10/2018
Siue Dining Services Edwardsville IL 07/2017 05/2018
Siue Recreation Edwardsville IL 01/2017 10/2017
Unemployed Edwardsville IL 11/2016 12/2016
Dierbergs Markets Edwardsville IL 08/2016 11/2016
Schwab Wealth Advisory Inc Lone Tree CO 06/2022 Present
Charles Schwab & Co., Inc. Lone Tree CO 06/2022 Present
  • 10/2018 → 06/2022
    Td Ameritrade
    63105, IL
  • 05/2018 → 10/2018
    Hibbett Sports
    Alton, IL
  • 07/2017 → 05/2018
    Siue Dining Services
    Edwardsville, IL
  • 01/2017 → 10/2017
    Siue Recreation
    Edwardsville, IL
  • 11/2016 → 12/2016
    Unemployed
    Edwardsville, IL
  • 08/2016 → 11/2016
    Dierbergs Markets
    Edwardsville, IL
  • 06/2022 → Present
    Schwab Wealth Advisory Inc
    Lone Tree, CO
  • 06/2022 → Present
    Charles Schwab & Co., Inc.
    Lone Tree, CO
Previous Registrations
  • 2021-06-22 → 2022-09-15
    Td Ameritrade, Inc.
    St. Louis, MO
    St Louis, MO
    St Louis, MO
    Omaha, NE
    Albuquerque, NM
  • 2021-08-13 → 2022-09-15
    Td Ameritrade Investment Management, Llc
    St. Louis, MO
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-11-28
S63 Uniform Securities Agent State Law Examination 2019-02-05
  • S66 Uniform Combined State Law Examination
    2020-11-28
  • S63 Uniform Securities Agent State Law Examination
    2019-02-05
Other Names
  • Spencer Norman Phillips
  • Spencer N Phillips

View on SEC IAPD

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