Carl F. Severance

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CRD#: 2958808

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Carl Fleming Severance, who also goes by Carl Severance, Carl F Severence, was a registered financial professional .

Carl is a previously registered financial professional and started their career in finance in 1997. Carl had worked at 8 firms and has passed the Series 66, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Carl Severance | Carl F Severence

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 3, 2012 - April 30, 2014

SCHWAB WEALTH ADVISORY, INC.

RIA

CRD#: 159035

ENGLEWOOD, CO

Past

September 16, 2008 - December 31, 2011

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

ENGLEWOOD, CO

Past

July 16, 2007 - April 30, 2014

CHARLES SCHWAB & CO., INC.

CRD#: 5393

ENGLEWOOD, CO

Past

April 18, 2006 - June 25, 2007

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

CRD#: 102920

ENGLEWOOD, CO

Past

July 10, 2003 - May 31, 2005

AMERICAN CENTURY BROKERAGE, INC.

CRD#: 42846

KANSAS CITY, MO

Past

February 29, 2000 - May 31, 2005

AMERICAN CENTURY INVESTMENT SERVICES INC.

CRD#: 17437

KANSAS CITY, MO

Past

December 8, 1998 - October 22, 1999

WACHOVIA BROKERAGE SERVICE

CRD#: 17503

WINSTON SALEM, NC

Past

October 24, 1997 - July 29, 1998

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

Past

October 24, 1997 - July 29, 1998

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/12/2008

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/21/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/3/1998

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/23/1997

Investment Company Products/Variable Contracts Representative Examination

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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Carl F. Severance

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

AMERICAN CENTURY BROKERAGE, INC.

AMERICAN CENTURY INVESTMENT SERVICES INC.

WACHOVIA BROKERAGE SERVICE

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

SCHWAB WEALTH ADVISORY, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/12/2008

Series 63

Date: 10/21/1997

Series 7

Date: 12/3/1998

Series 6

Date: 10/23/1997

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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