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Grady Dok

Schwab Wealth Advisory, Inc.

Lone Tree, CO

CRD 7539497

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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 2024-05-06
  • CO RA
    APPROVED
    Since 2024-05-06

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
Scripps Ranch Swim & Racquet C San Diego CA 06/2020 11/2020
University Of Portland Portland OR 09/2021 09/2022
Miracle Mile Advisors Lake Oswego OR 10/2022 12/2022
Full Time Education San Diego CA 08/2015 06/2019
Scripps Ranch Swim & Racquet C San Diego CA 06/2020 11/2020
University Of Portland Portland OR 09/2021 09/2022
Unemployed San Diego CA 03/2014 08/2019
Unemployed San Diego CA 12/2020 08/2021
Unemployed San Diego CA 07/2019 05/2020
Charles Schwab & Co., Inc. Lone Tree CO 01/2023 Present
Schwab Wealth Advisory, Inc. Lone Tree CO 05/2024 Present
  • 06/2020 → 11/2020
    Scripps Ranch Swim & Racquet C
    San Diego, CA
  • 09/2021 → 09/2022
    University Of Portland
    Portland, OR
  • 10/2022 → 12/2022
    Miracle Mile Advisors
    Lake Oswego, OR
  • 08/2015 → 06/2019
    Full Time Education
    San Diego, CA
  • 06/2020 → 11/2020
    Scripps Ranch Swim & Racquet C
    San Diego, CA
  • 09/2021 → 09/2022
    University Of Portland
    Portland, OR
  • 03/2014 → 08/2019
    Unemployed
    San Diego, CA
  • 12/2020 → 08/2021
    Unemployed
    San Diego, CA
  • 07/2019 → 05/2020
    Unemployed
    San Diego, CA
  • 01/2023 → Present
    Charles Schwab & Co., Inc.
    Lone Tree, CO
  • 05/2024 → Present
    Schwab Wealth Advisory, Inc.
    Lone Tree, CO
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-05-03
  • S66 Uniform Combined State Law Examination
    2024-05-03

View on SEC IAPD

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