DR
Daniel J. Rickelman
SCHWAB WEALTH ADVISORY
Indianapolis, IN 46240-2482
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CRD#: 2223343
DR
Professional summary
Daniel Joseph Rickelman, CFA is a registered financial advisor currently at SCHWAB WEALTH ADVISORY, INC. located in Indianapolis, Indiana and CHARLES SCHWAB & CO., INC. located in Orlando, Florida.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Daniel has worked at 2 firms and has passed the Series 63, Series 57TO, SIE, Series 3, Series 55, Series 7, Series 9, Series 10, Series 4, Series 24 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1) Varies | Investment Related:No|Varies|Varies|IN|00000|USA|Other|CLERK|3/1/2019|Less than 20|0|Clerk for Middle School / High School Athletic event(s) for which I may receive compensation.
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Joseph Rickelman's 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®
Experience
Current
May 16, 2023 - Present
SCHWAB WEALTH ADVISORY, INC.
Office #1: 8332 Woodfield Crossing Blvd, Indianapolis, IN 46240-2482RIA
CRD#: 159035
Indianapolis, IN
Current
August 27, 1992 - Present
CHARLES SCHWAB & CO., INC.
Office #1: 1991 Summit Park Drive, Orlando, FL 32810RIA
BD
CRD#: 5393
Orlando, FL
Past
May 15, 2023 - May 17, 2023
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
Indianapolis, IN
Past
April 9, 2019 - May 15, 2023
SCHWAB WEALTH ADVISORY, INC.
RIA
CRD#: 159035
Indianapolis, IN
Past
July 15, 2016 - April 9, 2019
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
Indianapolis, IN
Past
March 31, 2015 - July 15, 2016
SCHWAB WEALTH ADVISORY, INC.
RIA
CRD#: 159035
INDANAPOLIS, IN
Past
January 3, 2011 - April 1, 2015
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
Indianapolis, IN
Past
December 13, 2007 - December 31, 2010
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
Indianapolis, IN
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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
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
RR
Alabama(7/20/2017)
RR
Alaska(7/20/2017)
RR
Arizona(7/20/2017)
RR
Arkansas(7/20/2017)
RR
California(1/3/2011)
RR
Colorado(7/20/2017)
RR
Connecticut(7/20/2017)
RR
Delaware(7/20/2017)
RR
District of Columbia(7/20/2017)
RR
Florida(7/20/2017)
RR
Georgia(7/20/2017)
RR
Hawaii(7/20/2017)
RR
Idaho(7/20/2017)
RR
Illinois(7/20/2017)
RR
Indiana(1/3/2011)
IAR
Indiana(5/16/2023)
RR
Iowa(7/20/2017)
RR
Kansas(7/20/2017)
RR
Kentucky(7/20/2017)
RR
Louisiana(7/20/2017)
RR
Maine(7/20/2017)
RR
Maryland(7/20/2017)
RR
Massachusetts(7/20/2017)
RR
Michigan(7/20/2017)
RR
Minnesota(7/20/2017)
RR
Mississippi(7/20/2017)
RR
Missouri(7/20/2017)
RR
Montana(7/20/2017)
RR
Nebraska(7/20/2017)
RR
Nevada(7/20/2017)
RR
New Hampshire(7/20/2017)
RR
New Jersey(7/20/2017)
RR
New Mexico(7/20/2017)
RR
New York(7/20/2017)
RR
North Carolina(7/20/2017)
RR
North Dakota(7/20/2017)
RR
Ohio(7/21/2017)
RR
Oklahoma(7/20/2017)
RR
Oregon(7/20/2017)
RR
Pennsylvania(7/20/2017)
RR
Puerto Rico(7/20/2017)
RR
Rhode Island(7/20/2017)
RR
South Carolina(7/20/2017)
RR
South Dakota(7/20/2017)
RR
Tennessee(7/20/2017)
RR
Texas(7/20/2017)
IAR
Texas(5/16/2023)
RR
Utah(7/20/2017)
RR
Vermont(7/20/2017)
RR
Virgin Islands(7/20/2017)
RR
Virginia(7/20/2017)
RR
Washington(7/20/2017)
RR
West Virginia(7/20/2017)
RR
Wisconsin(7/20/2017)
RR
Wyoming(7/20/2017)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 2/27/2007
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 12/21/1995
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
SW
SCHWAB WEALTH ADVISORY, INC.
SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. | SCHWAB WEALTH ADVISORY, INC.
CRD#: 159035 / SEC#: 801-72795
RIA
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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)
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.
