Cindy Scott

SCHWAB WEALTH ADVISORY

Westlake, TX 76262-8104

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CRD#: 2918260

Professional summary

Cindy Scott, CFP® is a registered financial advisor currently at SCHWAB WEALTH ADVISORY, INC. located in Westlake, Texas and CHARLES SCHWAB & CO., INC. located in Westlake, Texas.

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

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 Cindy Scott'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

Experience

Current

August 13, 2025 - Present

SCHWAB WEALTH ADVISORY, INC.

Office #1: 3000 Schwab Way, Westlake, TX 76262-8104

RIA

CRD#: 159035

Westlake, TX

Current

December 20, 2019 - Present

CHARLES SCHWAB & CO., INC.

Office #1: 3000 Schwab Way, Westlake, TX 76262

RIA

CRD#: 5393

Westlake, TX

Past

December 20, 2019 - August 13, 2025

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Fort Worth, TX

Past

November 6, 2019 - November 19, 2019

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

Plano, TX

Past

November 6, 2019 - November 19, 2019

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

May 15, 2019 - September 30, 2019

FISHER INVESTMENTS

RIA

CRD#: 107342

PLANO, TX

Past

December 20, 2017 - December 17, 2018

TRANSAMERICA RETIREMENT ADVISORS, LLC

RIA

CRD#: 107319

Grand Prairie, TX

Past

December 20, 2017 - December 17, 2018

TRANSAMERICA INVESTORS SECURITIES, LLC

CRD#: 32205

HARRISON, NY

Past

March 15, 2013 - February 12, 2016

1ST GLOBAL ADVISORS INC

RIA

CRD#: 111133

DALLAS, TX

Past

February 23, 2009 - February 12, 2016

1ST GLOBAL CAPITAL CORP.

CRD#: 30349

DALLAS, TX

Past

November 4, 1998 - January 5, 2009

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

IRVING, TX

Past

September 2, 1997 - February 23, 1998

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

September 2, 1997 - February 23, 1998

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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".

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.

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

Alabama
(1/3/2026)

Alaska
(1/8/2026)

Arizona
(1/3/2026)

Arkansas
(1/3/2026)

California
(1/3/2026)

Colorado
(1/3/2026)

Connecticut
(1/3/2026)

Delaware
(1/3/2026)

District of Columbia
(1/3/2026)

Florida
(1/3/2026)

Georgia
(1/3/2026)

Hawaii
(1/3/2026)

Idaho
(1/3/2026)

Illinois
(1/3/2026)

Indiana
(1/3/2026)

Iowa
(1/3/2026)

Kansas
(1/3/2026)

Kentucky
(1/3/2026)

Louisiana
(1/3/2026)

Maine
(1/3/2026)

Maryland
(1/3/2026)

Massachusetts
(1/3/2026)

Michigan
(1/3/2026)

Minnesota
(1/3/2026)

Mississippi
(1/3/2026)

Missouri
(1/3/2026)

Montana
(1/3/2026)

Nebraska
(1/3/2026)

Nevada
(1/3/2026)

New Hampshire
(1/3/2026)

New Jersey
(1/3/2026)

New Mexico
(1/3/2026)

New York
(1/3/2026)

North Carolina
(1/3/2026)

North Dakota
(1/3/2026)

Ohio
(1/3/2026)

Oklahoma
(1/3/2026)

Oregon
(1/3/2026)

Pennsylvania
(1/3/2026)

Puerto Rico
(1/3/2026)

Rhode Island
(1/3/2026)

South Carolina
(1/3/2026)

South Dakota
(1/3/2026)

Tennessee
(1/3/2026)

Texas
(12/20/2019)

IAR

Texas
(8/13/2025)

Utah
(1/3/2026)

Vermont
(1/3/2026)

Virgin Islands
(1/3/2026)

Virginia
(1/3/2026)

Washington
(1/3/2026)

West Virginia
(1/3/2026)

Wisconsin
(1/3/2026)

Wyoming
(1/3/2026)

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

IAR

Series 65

Date: 8/25/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/13/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/28/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 9/11/2023

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 8/14/2023

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 24

Date: 3/31/1999

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

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.

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Advisor Monitoring

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Cindy Scott

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Cindy Scott's CRS (Customer Relationship Summary).

Certified licenses

Experience

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

FISHER INVESTMENTS

TRANSAMERICA RETIREMENT ADVISORS, LLC

TRANSAMERICA INVESTORS SECURITIES, LLC

1ST GLOBAL ADVISORS INC

1ST GLOBAL CAPITAL CORP.

AVANTAX INVESTMENT SERVICES, INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

SCHWAB WEALTH ADVISORY, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/25/1997

Series 63

Date: 8/13/1997

SIE

Date: 10/1/2018

Series 7

Date: 7/28/1997

Series 10

Date: 9/11/2023

Series 9

Date: 8/14/2023

Series 24

Date: 3/31/1999

FINRA

Nasdaq Stock Market

Current Firm

SCHWAB WEALTH ADVISORY, INC.

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Red Flags

Company Information

SCHWAB WEALTH ADVISORY, INC.

TRUST BUT VERIFY

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