Benjamin Fernandez

SCHWAB WEALTH ADVISORY

Chicago, IL

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CRD#: 2946067

Professional summary

Benjamin Fernandez, CFP®, who also goes by Benjamin Ocampo Fernandez Jr., Benjamin Ocampo Fernandez, is a registered financial advisor currently at SCHWAB WEALTH ADVISORY, INC. located in Chicago, Illinois and CHARLES SCHWAB & CO., INC. located in Chicago, Illinois.

Benjamin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Benjamin has worked at 10 firms and has passed the Series 63, Series 7TO, SIE, Series 7, Series 9 and Series 10 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Benjamin Ocampo Fernandez Jr. | Benjamin Ocampo Fernandez

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 Benjamin Fernandez'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

July 1, 2025 - Present

SCHWAB WEALTH ADVISORY, INC.

RIA

CRD#: 159035

Chicago, IL

Current

December 16, 2020 - Present

CHARLES SCHWAB & CO., INC.

Office #1: 150 S. Wacker Drive, Chicago, IL 60606-4111

RIA

CRD#: 5393

Chicago, IL

Past

October 10, 2018 - October 21, 2019

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

Chicago, IL

Past

January 12, 2015 - October 11, 2016

BMO HARRIS FINANCIAL ADVISORS, INC.

CRD#: 137115

CHICAGO, IL

Past

August 15, 2014 - December 2, 2014

ASSETMARK BROKERAGE, LLC

CRD#: 169804

Chicago, IL

Past

July 15, 2014 - August 15, 2014

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

Past

December 11, 2013 - January 27, 2014

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

GURNEE, IL

Past

November 13, 2012 - October 18, 2013

VALIC FINANCIAL ADVISORS, INC.

RIA

CRD#: 42803

CHICAGO, IL

Past

July 10, 2012 - October 18, 2013

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803

CHICAGO, IL

Past

August 6, 2002 - October 8, 2008

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472

CHICAGO, IL

Past

April 25, 2000 - July 23, 2002

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

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

Illinois
(12/18/2020)

IAR

Illinois
(7/1/2025)

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

Series 63

Date: 7/31/2012

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/11/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/24/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 1/26/2001

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 1/16/2001

General Securities Sales Supervisor - General Module 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

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)

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.

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Advisor Monitoring

Firm Stability Insights

Benjamin Fernandez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Benjamin Fernandez's CRS (Customer Relationship Summary).

Certified licenses

Experience

CHARLES SCHWAB & CO., INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

BMO HARRIS FINANCIAL ADVISORS, INC.

ASSETMARK BROKERAGE, LLC

CAPITAL BROKERAGE CORPORATION

PNC WEALTH MANAGEMENT LLC

VALIC FINANCIAL ADVISORS, INC.

VALIC FINANCIAL ADVISORS, INC.

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

TD AMERITRADE, INC.

Primary Firm SEC Registration

SCHWAB WEALTH ADVISORY, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/31/2012

Series 7TO

Date: 1/2/2023

SIE

Date: 10/11/2016

Series 7

Date: 4/24/2000

Series 9

Date: 1/26/2001

Series 10

Date: 1/16/2001

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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