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Steve Stevens

SCHWAB WEALTH ADVISORY

Phoenix, AZ 85016

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CRD#: 2699975

Professional summary

Steve Stevens, who also goes by Steve Leland Stevens, is a registered financial advisor currently at SCHWAB WEALTH ADVISORY, INC. located in Phoenix, Arizona and CHARLES SCHWAB & CO., INC. located in Phoenix, Arizona.

Steve is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Steve has worked at 11 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 24, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Steve Leland Stevens

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 Steve Stevens'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®

None

Experience

Current

August 18, 2021 - Present

SCHWAB WEALTH ADVISORY, INC.

Office #1: 2423 E. Lincoln Drive, Phoenix, AZ 85016

RIA

CRD#: 159035

Phoenix, AZ

Current

August 3, 2021 - Present

CHARLES SCHWAB & CO., INC.

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

RIA

BD

CRD#: 5393

Phoenix, AZ

Past

November 5, 2019 - May 5, 2021

OSAIC SERVICES, INC.

RIA

CRD#: 133763

PHOENIX, AZ

Past

November 5, 2019 - May 5, 2021

WOODBURY FINANCIAL SERVICES, INC.

BD

CRD#: 421

OAKDALE, MN

Past

November 5, 2019 - May 5, 2021

OSAIC SERVICES, INC.

BD

CRD#: 133763

SCOTTSDALE, AZ

Past

November 5, 2019 - May 5, 2021

OSAIC WEALTH, INC.

BD

CRD#: 23131

SCOTTSDALE, AZ

Past

November 5, 2019 - May 5, 2021

FSC SECURITIES CORPORATION

BD

CRD#: 7461

ATLANTA, GA

Past

June 19, 2015 - November 4, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

CHANDLER, AZ

Past

June 19, 2015 - November 4, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD

CRD#: 7691

CHANDLER, AZ

Past

September 25, 2009 - March 27, 2015

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

INDIANAPOLIS, IN

Past

September 25, 2009 - March 27, 2015

CHARLES SCHWAB & CO., INC.

BD

CRD#: 5393

INDIANAPOLIS, IN

Past

May 15, 2009 - August 19, 2009

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

SALT LAKE CITY, UT

Past

November 16, 2006 - August 19, 2009

FIDELITY BROKERAGE SERVICES LLC

BD

CRD#: 7784

SALT LAKE CITY, UT

Past

March 24, 2006 - October 2, 2006

CHARLES SCHWAB & CO., INC.

BD

CRD#: 5393

AUSTIN, TX

Past

May 7, 2002 - October 2, 2006

CYBERTRADER, INC.

BD

CRD#: 44523

AUSTIN, TX

Past

November 10, 1999 - May 8, 2002

CHARLES SCHWAB & CO., INC.

BD

CRD#: 5393

WESTLAKE, TX

Past

October 28, 1997 - July 28, 1998

WELLS FARGO CLEARING SERVICES, LLC

BD

CRD#: 19616

ST. LOUIS, MO

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
(8/5/2021)

IAR

Arizona
(8/18/2021)

RR

California
(8/3/2021)

RR

Colorado
(8/3/2021)

RR

Hawaii
(8/3/2021)

RR

Idaho
(8/3/2021)

RR

New Mexico
(8/3/2021)

RR

Oregon
(8/3/2021)

RR

Utah
(8/3/2021)

RR

Washington
(8/3/2021)

RR

Wyoming
(8/3/2021)

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

RR

IAR

Series 66

Date: 5/14/2009

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 1/16/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

RR

Series 63

Date: 10/31/1997

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: 10/27/1997

General Securities Representative Examination

Principal/Supervisory Exam

RR

Series 24

Date: 4/8/2004

General Securities Principal Examination

Principal/Supervisory Exam

RR

Series 10

Date: 4/9/2001

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

RR

Series 9

Date: 1/19/2001

General Securities Sales Supervisor - Options Module 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)

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

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