RH
Rodney A. Hampton
SCHWAB WEALTH ADVISORY
ALTAMONTE SPRINGS, FL
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CRD#: 2344054
RH
Professional summary
Rodney Allen Hampton, who also goes by Rod Hampton, is a registered financial advisor currently at SCHWAB WEALTH ADVISORY, INC. located in Altamonte Springs, Florida and CHARLES SCHWAB & CO., INC. located in Westlake, Texas.
Rodney is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Rodney has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 9, Series 10, Series 8 and Series 4 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rod Hampton
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.
7/2007-WALT DISNEY COMPANY, LAKE BUENA VISTA, FL, PROFESSIONAL PHOTOGRAPHER, NOT INVESTMENT RELATED, ENTERTAINMENT BUSINESS, APPROXIMATELY 8 HRS/MONTH AND NOT DURING SECURITIES TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Rodney Allen Hampton'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®
NoneExperience
Current
December 14, 2021 - Present
SCHWAB WEALTH ADVISORY, INC.
RIA
CRD#: 159035
ALTAMONTE SPRINGS, FL
Current
January 1, 2009 - Present
CHARLES SCHWAB & CO., INC.
Office #1: 3000 Schwab Way, Westlake, TX 76262RIA
BD
CRD#: 5393
Westlake, TX
Past
December 6, 2021 - January 10, 2022
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
Orlando, FL
Past
October 21, 2005 - April 5, 2007
EMPIRE FINANCIAL GROUP, INC.
BD
CRD#: 28759
LONGWOOD, FL
Past
April 2, 1996 - July 21, 2004
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WESTLAKE, TX
Past
July 13, 1993 - January 5, 1996
CHATFIELD DEAN & CO., INC.
BD
CRD#: 14714
GREENWOOD VILLAGE, CO
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(1/12/2023)
RR
Alaska(1/12/2023)
RR
Arizona(1/24/2022)
RR
Arkansas(1/12/2023)
RR
California(1/1/2009)
RR
Colorado(1/24/2022)
RR
Connecticut(1/24/2022)
RR
Delaware(1/24/2022)
RR
District of Columbia(1/24/2022)
RR
Florida(1/1/2009)
IAR
Florida(12/14/2021)
RR
Georgia(1/24/2022)
RR
Hawaii(1/12/2023)
RR
Idaho(1/24/2022)
RR
Illinois(1/24/2022)
RR
Indiana(1/24/2022)
RR
Iowa(1/12/2023)
RR
Kansas(1/12/2023)
RR
Kentucky(1/12/2023)
RR
Louisiana(1/24/2022)
RR
Maine(1/12/2023)
RR
Maryland(1/24/2022)
RR
Massachusetts(1/24/2022)
RR
Michigan(1/24/2022)
RR
Minnesota(1/12/2023)
RR
Mississippi(1/12/2023)
RR
Missouri(1/24/2022)
RR
Montana(1/12/2023)
RR
Nebraska(1/12/2023)
RR
Nevada(1/24/2022)
RR
New Hampshire(1/24/2022)
RR
New Jersey(1/24/2022)
RR
New Mexico(1/12/2023)
RR
New York(1/24/2022)
RR
North Carolina(1/24/2022)
RR
North Dakota(1/12/2023)
RR
Ohio(1/25/2022)
RR
Oklahoma(1/24/2022)
RR
Oregon(1/24/2022)
RR
Pennsylvania(1/24/2022)
RR
Puerto Rico(1/12/2023)
RR
Rhode Island(1/24/2022)
RR
South Carolina(1/24/2022)
RR
South Dakota(1/12/2023)
RR
Tennessee(1/24/2022)
RR
Texas(1/24/2022)
IAR
Texas(1/24/2022)
RR
Utah(1/24/2022)
RR
Vermont(1/24/2022)
RR
Virgin Islands(1/12/2023)
RR
Virginia(1/24/2022)
RR
Washington(1/24/2022)
RR
West Virginia(1/24/2022)
RR
Wisconsin(1/24/2022)
RR
Wyoming(1/12/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 9/16/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Principal/Supervisory Exam
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.
