NK
Natalie V. Kotroba
SCHWAB WEALTH ADVISORY
Orlando, FL 32810
Some features on this profile are disabled
CRD#: 2719947
NK
Professional summary
Natalie V Kotroba, CFP®, who also goes by Natalie V Holt, Natalie Va Holt, is a registered financial advisor currently at SCHWAB WEALTH ADVISORY, INC. located in Orlando, Florida and CHARLES SCHWAB & CO., INC. located in Orlando, Florida.
Natalie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Natalie has worked at 2 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 9 and Series 10 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Natalie V Holt | Natalie Va Holt
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) ST. MARY MAGDALEN CATHOLIC SCHOOL | Investment Related:No|869 Maitland Avenue|Altamonte Springs|FL|32701|USA|Education|MEMBER OF SCHOOL FINANCE COMMITTEE BOARD|10/26/2015|Less than 20|0|My 2 children attend the St. Mary Magdalen Catholic School, I have been asked to be a member of the School Finance Committee. This is a role I will not be compensated for.
CRS (Client Relationship Summary) - RIA
Click below to view Natalie V Kotroba'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®
CFP®
Start date: 2017
Experience
Current
March 14, 2012 - Present
SCHWAB WEALTH ADVISORY, INC.
Office #1: 1991 Summit Park Drive, Orlando, FL 32810RIA
CRD#: 159035
Orlando, FL
Current
September 10, 2004 - Present
CHARLES SCHWAB & CO., INC.
Office #1: 1991 Summit Park Drive, Orlando, FL 32810RIA
BD
CRD#: 5393
Orlando, FL
Past
January 26, 2012 - March 27, 2012
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
Orlando, FL
Past
October 15, 2007 - December 31, 2011
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
Orlando, FL
Past
October 25, 1999 - July 21, 2004
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WESTLAKE, TX
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(8/25/2005)
RR
Alaska(2/7/2024)
RR
Arizona(9/22/2008)
RR
Arkansas(2/7/2024)
RR
California(9/10/2004)
RR
Colorado(4/8/2019)
RR
Connecticut(9/13/2004)
RR
Delaware(9/13/2004)
RR
District of Columbia(9/13/2004)
RR
Florida(9/10/2004)
IAR
Florida(3/14/2012)
RR
Georgia(9/13/2004)
RR
Hawaii(2/7/2024)
RR
Idaho(2/7/2024)
RR
Illinois(9/13/2004)
RR
Indiana(9/13/2004)
RR
Iowa(7/13/2009)
RR
Kansas(2/7/2024)
RR
Kentucky(5/9/2011)
RR
Louisiana(2/7/2024)
RR
Maine(9/13/2004)
RR
Maryland(9/13/2004)
RR
Massachusetts(9/13/2004)
RR
Michigan(9/13/2004)
RR
Minnesota(7/27/2009)
RR
Mississippi(2/7/2024)
RR
Missouri(10/3/2006)
RR
Montana(6/1/2006)
RR
Nebraska(2/7/2024)
RR
Nevada(12/22/2016)
RR
New Hampshire(7/2/2009)
RR
New Jersey(9/13/2004)
RR
New Mexico(2/7/2024)
RR
New York(9/13/2004)
RR
North Carolina(9/14/2004)
RR
North Dakota(2/7/2024)
RR
Ohio(1/3/2006)
RR
Oklahoma(2/17/2015)
RR
Oregon(3/13/2017)
RR
Pennsylvania(9/13/2004)
RR
Puerto Rico(2/7/2024)
RR
Rhode Island(9/13/2004)
RR
South Carolina(9/13/2004)
RR
South Dakota(2/7/2024)
RR
Tennessee(1/25/2010)
RR
Texas(4/28/2006)
IAR
Texas(1/4/2021)
RR
Utah(2/7/2024)
RR
Vermont(12/3/2008)
RR
Virgin Islands(2/7/2024)
RR
Virginia(9/13/2004)
RR
Washington(4/30/2009)
RR
West Virginia(7/31/2006)
RR
Wisconsin(7/31/2006)
RR
Wyoming(2/7/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
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.
