Shirley A. Raaen
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Shirley Anne Raaen, CFP®, who also goes by Shirley Anne Griner, Shirley Griner, Shirley Anne Springer, was a registered financial professional .
Shirley is a previously registered financial professional and started their career in finance in 1998. Shirley had worked at 2 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2009
Experience
January 3, 2023 - October 20, 2023
SCHWAB WEALTH ADVISORY, INC.
January 11, 2021 - January 24, 2023
CHARLES SCHWAB & CO., INC.
January 3, 2012 - February 1, 2021
SCHWAB WEALTH ADVISORY, INC.
March 6, 2003 - December 31, 2011
CHARLES SCHWAB & CO., INC.
April 27, 1998 - October 20, 2023
CHARLES SCHWAB & CO., INC.
Primary Firm SEC Registration
SCHWAB WEALTH ADVISORY, INC.
CRD#: 159035 / SEC#: 801-72795
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
SCHWAB WEALTH ADVISORY, INC.
CRD#: 159035 / SEC#: 801-72795
Contact information
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.
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