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LG

Laura M. Gray

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CRD#: 1431598
LG

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Laura Mary Gray was a registered financial professional .

Laura is a previously registered financial professional and started their career in finance in 1987. Laura had worked at 10 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 6, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

January 4, 2023 - October 15, 2025

SCHWAB WEALTH ADVISORY, INC.

RIA
CRD#: 159035
Charlestown, MA
Past

July 27, 2021 - October 14, 2022

TD AMERITRADE, INC.

RIA
CRD#: 7870
BOSTON, MA
Past

July 27, 2021 - December 31, 2023

TD AMERITRADE, INC.

BD
CRD#: 7870
OMAHA, NE
Past

December 18, 2007 - January 11, 2023

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
Charlestown, MA
Past

December 14, 2007 - October 15, 2025

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
Boston, MA
Past

November 1, 2005 - December 3, 2007

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA
CRD#: 20472
CAMBRIDGE, MA
Past

October 28, 2005 - December 3, 2007

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

BD
CRD#: 20472
CAMBRIDGE, MA
Past

January 1, 2000 - November 10, 2004

FIDELITY PERSONAL TRUST COMPANY, FSB

RIA
CRD#: 109516
BOSTON, MA
Past

June 1, 1999 - November 10, 2004

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
SMITHFIELD, RI
Past

January 28, 1997 - March 18, 1998

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
SMITHFIELD, RI
Past

April 20, 1996 - November 10, 2004

STRATEGIC ADVISERS LLC

RIA
CRD#: 104555
BOSTON, MA
Past

June 27, 1995 - January 28, 1997

FIDELITY DISTRIBUTORS CORPORATION

BD
CRD#: 6848
SMITHFIELD, RI
Past

March 26, 1993 - June 2, 1995

BAYBANKS BROKERAGE SERVICES, INC.

BD
CRD#: 17536
Past

March 11, 1987 - December 22, 1992

NUVEEN SECURITIES, LLC

BD
CRD#: 469
CHICAGO, IL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SW
SCHWAB WEALTH ADVISORY, INC.
SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. | SCHWAB WEALTH ADVISORY, INC.

CRD#: 159035 / SEC#: 801-72795

RIA
Registered Investment Advisory firm - (12/9/2011 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/28/2001
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 1/30/1996
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/18/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/21/1987
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 3/10/1987
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 5/7/2004
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 4/13/2004
General Securities Sales Supervisor - Options Module Examination

Current Firm

SW
SCHWAB WEALTH ADVISORY, INC.
SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. | SCHWAB WEALTH ADVISORY, INC.

CRD#: 159035 / SEC#: 801-72795

RIA
Registered Investment Advisory firm - (12/9/2011 Approved)
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Contact information

Main Address
211 Main Street, San Francisco, CA 94105-1901
Mailing Address
Phone number
(415) 667-7000
Established
Firm type
Fiscal year end
# of Employees
1,042

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

SCHWAB WEALTH ADVISORY, INC. DISCLOSURE BROCHURE (9/23/2025)

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

SCHWAB WEALTH ADVISORY, INC.

CRD#: 159035

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Contact information

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