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George C. Pennock

SCHWAB WEALTH ADVISORY
Henderson, NV 89074
Some features on this profile are disabled
CRD#: 2742630
GP

Professional summary

George Curtis Pennock is a registered financial advisor currently at SCHWAB WEALTH ADVISORY, INC. located in Henderson, Nevada and CHARLES SCHWAB & CO., INC. located in Henderson, Nevada.

George is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. George has worked at 3 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, SIE, Series 7 and Series 8 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

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 George Curtis Pennock'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

November 19, 2024 - Present

SCHWAB WEALTH ADVISORY, INC.

Office #1: 2360 Corporate Circle Suite 160, Henderson, NV 89074
RIA
CRD#: 159035
Henderson, NV
Current

August 13, 2024 - Present

CHARLES SCHWAB & CO., INC.

Office #1: 2360 Corporate Circle, Henderson, NV 89074
RIA
BD
CRD#: 5393
Henderson, NV
Past

October 30, 2009 - November 21, 2012

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
ENGLEWOOD, CO
Past

October 14, 2009 - November 21, 2012

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
ENGLEWOOD, CO
Past

January 19, 2000 - May 18, 2004

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
ENGLEWOOD, CO
Past

March 19, 1997 - May 18, 2004

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
WESTLAKE, TX
Past

May 17, 1996 - April 7, 1997

FSC SECURITIES CORPORATION

BD
CRD#: 7461
ATLANTA, GA

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
Nevada
(11/18/2024)
IAR
Nevada
(11/19/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/16/2024
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 5/26/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/9/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 8/12/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 2/3/2024
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/13/2009
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 8
Date: 6/8/1999
General Securities Sales Supervisor Examination (Options Module & General Module)
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
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)

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 (9/23/2025)

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#: 159035Henderson, NV 89074

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