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Laura A Herl

Schwab Wealth Advisory, Inc.

Lone Tree, CO

San Francisco, CA

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Current Employers
Schwab Wealth Advisory, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2022-07-05
CO RA APPROVED 2022-06-28
  • TX RA
    APPROVED_RES
    Since 2022-07-05
  • CO RA
    APPROVED
    Since 2022-06-28

Branch Locations

9800 Schwab Way, Lone Tree, CO 80124 • United States

425 Market Street 17Th Floor, San Francisco, CA 94105 • 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
Tiaa-Cref Individual & Institutional Services, Llc Denver CO 05/2005 11/2020
Schwab Wealth Advisory, Inc. Lone Tree CO 05/2022 Present
Charles Schwab & Co., Inc. Lone Tree CO 05/2022 Present
Unemployed Denver CO 12/2020 06/2021
Self Employed Denver CO 06/2021 04/2022
Tiaa Denver CO 05/2005 11/2020
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-08-08
S63 Uniform Securities Agent State Law Examination 1999-10-08
  • S65 Uniform Investment Adviser Law Examination
    2007-08-08
  • S63 Uniform Securities Agent State Law Examination
    1999-10-08
Other Names
  • Laura Adele Herl
  • Laura Herl

View on SEC IAPD

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