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DB

Daniel A. Baron

SCHWAB WEALTH ADVISORY
Phoenix, AZ 85016-1215
Some features on this profile are disabled
CRD#: 2398932
DB

Professional summary

Daniel A Baron, CFP®, ChFC®, CLU®, who also goes by Dan Baron, Daniel Anthony Baron, Daniel Baron, is a registered financial advisor currently at SCHWAB WEALTH ADVISORY, INC. located in Phoenix, Arizona and CHARLES SCHWAB & CO., INC. located in Phoenix, Arizona.

Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Daniel has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 10, Series 9 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Dan Baron | Daniel Anthony Baron | Daniel Baron

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 Daniel A Baron'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

ChFC®

Chartered Financial Consultant

CLU®

Chartered Life Underwriter

Experience

Current

January 5, 2023 - Present

SCHWAB WEALTH ADVISORY, INC.

Office #1: 2423 E Lincoln Dr, Phoenix, AZ 85016-1215
RIA
CRD#: 159035
Phoenix, AZ
Current

June 28, 2010 - Present

CHARLES SCHWAB & CO., INC.

Office #1: 2423 E Lincoln Dr, Phoenix, AZ 85016-1215
RIA
BD
CRD#: 5393
Phoenix, AZ
Past

September 6, 2018 - January 11, 2023

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
LONE TREE, CO
Past

July 1, 2014 - September 6, 2018

SCHWAB WEALTH ADVISORY, INC.

RIA
CRD#: 159035
PHOENIX, AZ
Past

June 29, 2010 - July 2, 2014

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
LONE TREE, CO
Past

March 28, 2007 - March 10, 2010

USAA FINANCIAL PLANNING SERVICES

RIA
CRD#: 106352
PHOENIX, AZ
Past

March 14, 2007 - March 10, 2010

USAA FINANCIAL ADVISORS, INC.

BD
CRD#: 129035
PHOENIX, AZ
Past

December 19, 2006 - February 10, 2007

UVEST FINANCIAL SERVICES GROUP, INC.

RIA
CRD#: 13787
GLENDALE, AZ
Past

December 5, 2006 - February 10, 2007

UVEST FINANCIAL SERVICES GROUP, INC.

BD
CRD#: 13787
CHARLOTTE, NC
Past

March 17, 2006 - November 7, 2006

VOYA FINANCIAL PARTNERS, LLC

RIA
CRD#: 34815
PHOENIX, AZ
Past

March 31, 1999 - September 22, 2000

AETNA FINANCIAL SERVICES, INC.

BD
CRD#: 13255
HARTFORD, CT
Past

November 22, 1994 - November 7, 2006

VOYA FINANCIAL PARTNERS, LLC

BD
CRD#: 34815
PHOENIX, AZ
Past

September 23, 1993 - April 8, 1994

TOWER SQUARE SECURITIES, INC.

BD
CRD#: 833
EL SEGUNDO, CA

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
Arizona
(7/12/2010)
IAR
Arizona
(1/5/2023)
RR
Texas
(6/23/2014)
IAR
Texas
(2/6/2023)

Exams

State Security Law Exam
IAR
Series 65
Date: 3/7/2006
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/10/1998
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: 7/29/1998
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 9/22/1993
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 9/10/2011
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 6/25/2011
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 26
Date: 11/3/1997
Investment Company Products/Variable Contracts Principal Examination
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
Registered Investment Advisory firm - (12/9/2011 Approved)
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Contact information

Main Address
9800 Schwab Way, Lone Tree, CO 80124
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 (12/11/2025)

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#: 159035Phoenix, AZ 85016-1215

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