Susan L. Hirshman

SCHWAB WEALTH ADVISORY

Phoenix, AZ 85016-1215

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CRD#: 2209695

Professional summary

Susan L Hirshman, CFP®, who also goes by Susan Lynn Hirshman, is a registered financial advisor currently at SCHWAB WEALTH ADVISORY, INC. located in Phoenix, Arizona and CHARLES SCHWAB & CO., INC. located in Phoenix, Arizona.

Susan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Susan has worked at 9 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 2 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Susan Lynn Hirshman

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) - RIA

Click below to view Susan L Hirshman'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®

CFP^®

Certified Financial Planner

Start date: 1993

Experience

Current

January 15, 2020 - Present

SCHWAB WEALTH ADVISORY, INC.

Office #1: 2423 E Lincoln Dr, Phoenix, AZ 85016-1215

RIA

CRD#: 159035

Phoenix, AZ

Current

January 7, 2020 - Present

CHARLES SCHWAB & CO., INC.

Office #1: 2423 E Lincoln Dr, Phoenix, AZ 85016-1215

RIA

CRD#: 5393

Phoenix, AZ

Past

August 19, 2013 - December 10, 2019

MORGAN STANLEY

RIA

CRD#: 149777

NEW YORK, NY

Past

August 14, 2013 - December 10, 2019

MORGAN STANLEY

CRD#: 149777

NEW YORK, NY

Past

September 20, 2012 - June 21, 2013

DOMINARI SECURITIES LLC

RIA

CRD#: 18975

NEW YORK, NY

Past

September 19, 2012 - June 21, 2013

DOMINARI SECURITIES LLC

CRD#: 18975

NEW YORK, NY

Past

February 1, 2010 - July 22, 2010

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

March 9, 2000 - December 17, 2004

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

CRD#: 102920

NEW YORK, NY

Past

July 1, 1992 - July 19, 1993

IDS LIFE INSURANCE COMPANY

CRD#: 6321

Past

July 1, 1992 - July 19, 1993

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Past

January 31, 1992 - July 10, 1992

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

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
(4/16/2020)

Arizona
(1/8/2020)

IAR

Arizona
(1/20/2021)

California
(1/7/2020)

IAR

California
(1/15/2020)

Colorado
(8/12/2021)

Florida
(3/25/2021)

Hawaii
(3/25/2021)

Maryland
(1/8/2021)

Minnesota
(11/17/2020)

Missouri
(9/8/2020)

Nevada
(6/24/2020)

Pennsylvania
(4/26/2021)

Washington
(10/30/2020)

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

Series 63

Date: 12/17/2012

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 8/24/1995

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/19/2010

General Securities Representative Examination

General Industry/Product Exam

Series 2

Date: 6/30/1995

Non-Member General Securities Examination

General Industry/Product Exam

Series 6

Date: 1/30/1992

Investment Company Products/Variable Contracts Representative Examination

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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Advisor Monitoring

Firm Stability Insights

Susan L. Hirshman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Susan L Hirshman's CRS (Customer Relationship Summary).

Certified licenses

Experience

CHARLES SCHWAB & CO., INC.

MORGAN STANLEY

MORGAN STANLEY

DOMINARI SECURITIES LLC

DOMINARI SECURITIES LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

WOODBURY FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

SCHWAB WEALTH ADVISORY, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/17/2012

Series 65

Date: 8/24/1995

SIE

Date: 10/1/2018

Series 7

Date: 1/19/2010

Series 2

Date: 6/30/1995

Series 6

Date: 1/30/1992

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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