Lee Marcotte

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
CA	RA	APPROVED	2025-08-11

CA RA
APPROVED

Since 2025-08-11

Branch Locations

425 Market Street Floor 17, San Francisco, CA 94105 • 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 No
Bankruptcy Yes
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.	Phoenix	AZ	11/2018	10/2020
Topmarc Media, Llc	Scottsdale	AZ	02/2018	11/2018
Santy Integrated	Scottsdale	AZ	07/2017	01/2018
Ignite Farm Sales	Walnut Creek	CA	03/2016	07/2017
Charles Schwab & Co., Inc.	Walnut Creek	CA	01/2021	Present
Charles Schwab Bank, Ssb	Walnut Creek	CA	05/2021	07/2025
Schwab Wealth Advisory, Inc.	Walnut Creek	CA	07/2025	Present

11/2018 → 10/2020

Charles Schwab & Co., Inc.

Phoenix, AZ
02/2018 → 11/2018

Topmarc Media, Llc

Scottsdale, AZ
07/2017 → 01/2018

Santy Integrated

Scottsdale, AZ
03/2016 → 07/2017

Ignite Farm Sales

Walnut Creek, CA
01/2021 → Present

Charles Schwab & Co., Inc.

Walnut Creek, CA
05/2021 → 07/2025

Charles Schwab Bank, Ssb

Walnut Creek, CA
07/2025 → Present

Schwab Wealth Advisory, Inc.

Walnut Creek, CA

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2021-06-11
S63	Uniform Securities Agent State Law Examination	2019-07-11

S66 Uniform Combined State Law Examination

2021-06-11
S63 Uniform Securities Agent State Law Examination

2019-07-11

View on SEC IAPD