Jonathan Spors

SCHWAB WEALTH ADVISORY

Lone Tree, CO 80124

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CRD#: 1923272

Professional summary

Jonathan Spors, who also goes by Jonathan Wesley Spors, is a registered financial advisor currently at SCHWAB WEALTH ADVISORY, INC. located in Lone Tree, Colorado and CHARLES SCHWAB & CO., INC. located in Lone Tree, Colorado.

Jonathan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Jonathan has worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 9, Series 10 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jonathan Wesley Spors

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jonathan Spors's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

September 9, 2021 - Present

SCHWAB WEALTH ADVISORY, INC.

Office #1: 9800 Schwab Way, Lone Tree, CO 80124

RIA

CRD#: 159035

Lone Tree, CO

Current

September 9, 2021 - Present

CHARLES SCHWAB & CO., INC.

Office #1: 9800 Schwab Way, Lone Tree, CO 80124

RIA

CRD#: 5393

Lone Tree, CO

Past

March 1, 2021 - July 26, 2021

EMPOWER ADVISORY GROUP, LLC

RIA

CRD#: 112058

GREENWOOD VILLAGE, CO

Past

March 1, 2021 - July 26, 2021

EMPOWER FINANCIAL SERVICES, INC.

CRD#: 13109

GREENWOOD VILLAGE, CO

Past

August 17, 2006 - November 13, 2020

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA

CRD#: 20472

DENVER, CO

Past

August 17, 2006 - November 13, 2020

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472

DENVER, CO

Past

April 14, 2005 - August 10, 2006

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

DENVER, CO

Past

April 1, 2005 - August 10, 2006

UBS FINANCIAL SERVICES INC.

CRD#: 8174

DENVER, CO

Past

February 4, 2003 - March 8, 2005

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

SAINT PAUL, MN

Past

July 19, 1999 - December 2, 2002

PIPER SANDLER & CO.

CRD#: 665

MINNEAPOLIS, MN

Past

June 10, 1999 - July 27, 1999

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

SAINT PAUL, MN

Past

May 1, 1997 - June 25, 1997

CHATFIELD DEAN & CO., INC.

CRD#: 14714

GREENWOOD VILLAGE, CO

Past

March 28, 1991 - August 24, 1995

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

January 23, 1990 - December 3, 1990

A. T. BROD & CO. INC.

CRD#: 1319

CLEVELAND, OH

Past

October 20, 1989 - January 22, 1990

MALONE & ASSOCIATES, INC.

CRD#: 10412

DENVER, CO

Past

August 22, 1989 - October 24, 1989

RICHFIELD SECURITIES, INC.

CRD#: 16109

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".

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(9/9/2021)

Alaska
(9/9/2021)

Arizona
(9/9/2021)

Arkansas
(9/9/2021)

California
(9/9/2021)

Colorado
(9/9/2021)

IAR

Colorado
(9/9/2021)

Connecticut
(9/9/2021)

Delaware
(9/9/2021)

District of Columbia
(9/9/2021)

Florida
(9/9/2021)

Georgia
(9/9/2021)

Hawaii
(9/9/2021)

Idaho
(9/9/2021)

Illinois
(9/9/2021)

Indiana
(9/9/2021)

Iowa
(9/9/2021)

Kansas
(9/9/2021)

Kentucky
(9/9/2021)

Louisiana
(9/9/2021)

Maine
(9/9/2021)

Maryland
(9/9/2021)

Massachusetts
(9/9/2021)

Michigan
(9/9/2021)

Minnesota
(9/9/2021)

Mississippi
(9/9/2021)

Missouri
(9/9/2021)

Montana
(9/9/2021)

Nebraska
(9/9/2021)

Nevada
(9/9/2021)

New Hampshire
(9/9/2021)

New Jersey
(9/9/2021)

New Mexico
(9/9/2021)

New York
(9/9/2021)

North Carolina
(9/9/2021)

North Dakota
(9/9/2021)

Ohio
(9/9/2021)

Oklahoma
(9/9/2021)

Oregon
(9/9/2021)

Pennsylvania
(9/9/2021)

Puerto Rico
(9/9/2021)

Rhode Island
(9/9/2021)

South Carolina
(9/9/2021)

South Dakota
(9/9/2021)

Tennessee
(9/9/2021)

Texas
(9/9/2021)

IAR

Texas
(9/10/2021)

Utah
(9/9/2021)

Vermont
(9/9/2021)

Virgin Islands
(9/9/2021)

Virginia
(9/9/2021)

Washington
(9/9/2021)

West Virginia
(9/9/2021)

Wisconsin
(9/9/2021)

Wyoming
(9/9/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/13/2005

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/2/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/19/1989

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 1/2/2023

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 1/2/2023

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 8

Date: 4/25/1994

General Securities Sales Supervisor Examination (Options Module & General Module)

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

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)

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.

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We're Here To Help

Advisor Monitoring

Firm Stability Insights

Jonathan Spors

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jonathan Spors's CRS (Customer Relationship Summary).

Certified licenses

Experience

CHARLES SCHWAB & CO., INC.

EMPOWER ADVISORY GROUP, LLC

EMPOWER FINANCIAL SERVICES, INC.

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

U.S. BANCORP INVESTMENTS, INC.

PIPER SANDLER & CO.

U.S. BANCORP INVESTMENTS, INC.

CHATFIELD DEAN & CO., INC.

CHARLES SCHWAB & CO., INC.

A. T. BROD & CO. INC.

MALONE & ASSOCIATES, INC.

RICHFIELD SECURITIES, INC.

Primary Firm SEC Registration

SCHWAB WEALTH ADVISORY, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 4/13/2005

Series 63

Date: 10/2/1989

SIE

Date: 10/1/2018

Series 7

Date: 8/19/1989

Series 9

Date: 1/2/2023

Series 10

Date: 1/2/2023

Series 8

Date: 4/25/1994

FINRA

Nasdaq Stock Market

Current Firm

SCHWAB WEALTH ADVISORY, INC.

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Red Flags

Company Information

SCHWAB WEALTH ADVISORY, INC.

TRUST BUT VERIFY

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