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Schwab Wealth Advisory, Inc. CRD 159035
168,774 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
425 Market Street 17Th Floor, San Francisco, CA 94105 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MO | RA | APPROVED | 2023-06-05 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| University Of Missouri-St Louis | St Louis | MO | 08/2014 | 12/2016 |
| Midwest Best Produce | St Louis | MO | 03/2016 | 03/2017 |
| Enterprise Holdings | St Louis | MO | 03/2017 | 11/2017 |
| Td Ameritrade | St Louis | MO | 02/2018 | 07/2019 |
| Edward Jones | St Louis | MO | 07/2019 | 05/2023 |
| Charles Schwab & Co., Inc. | St. Louis | MO | 05/2023 | Present |
| Schwab Wealth Advisory, Inc. | St. Louis | MO | 05/2023 | Present |
1) FINRA | Investment Related:No|Financial Services|Arbitrator|2/26/2022|Less than 20|0|My role as an Arbitrator is a voluntary contractual position. From time to time, I may be contacted by FINRA to sit in on an arbitration panel to listen to opposing party's argument regarding financial disputes. I am paid an honorarium of around $600 per day when sitting on a panel.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-06-08 |
| S63 | Uniform Securities Agent State Law Examination | 2018-05-15 |
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