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Nicholas Price Keener

Schwab Wealth Advisory, Inc.

Lone Tree, CO

CRD 6303446

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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 2023-03-14
  • CO RA
    APPROVED
    Since 2023-03-14

Branch Locations

9800 Schwab Way, Lone Tree, CO 80124-5377 • 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
Charles Schwab Bank Ormond FL 11/2015 05/2018
Charles Schwab & Co., Inc. Lone Tree CO 11/2015 Present
Charles Schwab Bank, Ssb Jacksonville FL 03/2021 03/2023
Schwab Wealth Advisory, Inc Lone Tree CO 03/2023 Present
  • 11/2015 → 05/2018
    Charles Schwab Bank
    Ormond, FL
  • 11/2015 → Present
    Charles Schwab & Co., Inc.
    Lone Tree, CO
  • 03/2021 → 03/2023
    Charles Schwab Bank, Ssb
    Jacksonville, FL
  • 03/2023 → Present
    Schwab Wealth Advisory, Inc
    Lone Tree, CO
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-01-22
S63 Uniform Securities Agent State Law Examination 2014-04-04
  • S66 Uniform Combined State Law Examination
    2016-01-22
  • S63 Uniform Securities Agent State Law Examination
    2014-04-04
Other Names
  • Nick Price Keener
  • Nicholas Keener

View on SEC IAPD

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