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Patrick John Smith

Schwab Wealth Advisory, Inc.

Omaha, NE

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Current Employers
Schwab Wealth Advisory, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
LA RA APPROVED 2025-12-22
NE RA APPROVED 2025-12-22
TX RA APPROVED_RES 2025-12-16
  • LA RA
    APPROVED
    Since 2025-12-22
  • NE RA
    APPROVED
    Since 2025-12-22
  • TX RA
    APPROVED_RES
    Since 2025-12-16

Branch Locations

Omaha, NE • 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 Omaha NE 02/2015 12/2022
Charles Schwab & Co., Inc. Omaha NE 12/2021 09/2024
Tradestation Group Plantation FL 10/2024 06/2025
Charles Schwab & Co., Inc. Omaha NE 09/2025 Present
Schwab Wealth Advisory, Inc Omaha NE 12/2025 Present
Previous Registrations
  • 2022-01-26 → 2024-09-28
    Charles Schwab & Co., Inc.
    San Francisco, CA
    Omaha,, NE
    Omaha, NE
    Omaha, NE
    Westlake, TX
  • 2009-02-18 → 2022-01-19
    Td Ameritrade, Inc.
    Omaha, NE
    Omaha, NE
    Omaha, NE
    Omaha, NE
    Omaha, NE
    Omaha, NE
    St Louis, MO
    St Louis, MO
  • 2009-02-18 → 2011-02-17
    Td Ameritrade Investment Management, Llc
    Omaha, NE
  • 2008-03-26 → 2009-01-09
    Securities America Advisors, Inc.
    Papillion, NE
  • 2007-12-05 → 2008-02-22
    Fb Advisors, Inc.
    Omaha, NE
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-09-01
S66 Uniform Combined State Law Examination 2006-05-05
  • S65 Uniform Investment Adviser Law Examination
    2007-09-01
  • S66 Uniform Combined State Law Examination
    2006-05-05
Other Names
  • Patrick J Smith
  • Patrick Smith

View on SEC IAPD

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