Anne M Schwab

Employer firm

Charles Schwab & Co., Inc. CRD 5393

955,800 advisory clients

Reported services (Item 5G)

Financial planning
Selection of other advisers
WRAP FEE PROGRAM SPONSOR AND FINANCIAL PLANNING ADVISOR REFERRAL PROGRAM

From the firm’s Form ADV. Read the guides:

Current Employers

Charles Schwab & Co., Inc.

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

Current Registrations

Authority	Category	Status	Date
AZ	RA	APPROVED	2025-09-12

AZ RA
APPROVED

Since 2025-09-12

Branch Locations

2423 E Lincoln Dr, Phoenix, AZ 85016-1215 • 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 No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
A.M. Schwab Financial Group	Cave Creek	AZ	07/1998	04/2023
Berger Financial Group	Plymouth	MN	05/2022	04/2023
Tull, Forsberg & Olson P.L.C.	Phoenix	AZ	02/2016	05/2022
Zeiders Enterprises Inc	Woodbridge	VA	09/2017	08/2023
Teema Inc.	Litchfield	AZ	02/2020	03/2020
Barnes & Noble	Phoenix	AZ	09/2015	12/2016
Magellan Federal	Arlington	VA	08/2023	04/2024
Asset Preservation Wealth & Tax	Peoria	AZ	11/2023	08/2025
Charles Schwab & Co., Inc.	Phoenix	AZ	08/2025	Present
Schwab Financial, Llc	Cave Creek	AZ	04/2023	08/2025

07/1998 → 04/2023

A.M. Schwab Financial Group

Cave Creek, AZ
05/2022 → 04/2023

Berger Financial Group

Plymouth, MN
02/2016 → 05/2022

Tull, Forsberg & Olson P.L.C.

Phoenix, AZ
09/2017 → 08/2023

Zeiders Enterprises Inc

Woodbridge, VA
02/2020 → 03/2020

Teema Inc.

Litchfield, AZ
09/2015 → 12/2016

Barnes & Noble

Phoenix, AZ
08/2023 → 04/2024

Magellan Federal

Arlington, VA
11/2023 → 08/2025

Asset Preservation Wealth & Tax

Peoria, AZ
08/2025 → Present

Charles Schwab & Co., Inc.

Phoenix, AZ
04/2023 → 08/2025

Schwab Financial, Llc

Cave Creek, AZ

Previous Registrations

2022-09-26 → 2023-04-07

Berger Financial Group

Scottsdale, AZ

Plymouth, MN
2002-07-09 → 2003-12-31

Transamerica Financial Advisors, Llc

W. Chicago, IL

Other Businesses

1) Self Employed | Investment Related:No||Other|Author|2012-01-01|Less than 20|0|Money Matters Made Simple was published in January 2015 for which I still receive royalties. I am not personally soliciting sales and have taken down the relevant website., 2) Self Employed | Investment Related:No||Other|Author|2005-01-01|Less than 20|0|Writing with the intention to publish fictional novels and possibly screenplays, unrelated to financial services or investments. Compensation would be from advances and royalties only.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2025-11-15
S65	Uniform Investment Adviser Law Examination	1999-01-15
S63	Uniform Securities Agent State Law Examination	1992-01-08

S66 Uniform Combined State Law Examination

2025-11-15
S65 Uniform Investment Adviser Law Examination

1999-01-15
S63 Uniform Securities Agent State Law Examination

1992-01-08

Designations

Certified Financial Planner

Other Names

Anne M Schwab-Sterbis
Anna Marie Schwab-Sterbis
Annie Schwab-Sterbis
Anna Marie Schwab
Anna Maria Schwab

View on SEC IAPD