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DA

Derek G. Anthony

SCHWAB WEALTH ADVISORY
La Jolla, CA 92037-4325
Some features on this profile are disabled
CRD#: 2988107
DA

Professional summary

Derek G Anthony, CFP®, who also goes by Derek George Anthony, is a registered financial advisor currently at SCHWAB WEALTH ADVISORY, INC. located in La Jolla, California and CHARLES SCHWAB & CO., INC. located in La Jolla, California.

Derek is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Derek has worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Derek George Anthony

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 Derek G Anthony'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

Start date: 2002

Experience

Current

February 11, 2026 - Present

SCHWAB WEALTH ADVISORY, INC.

Office #1: 7777 Fay Ave Suite 105, La Jolla, CA 92037-4325
RIA
CRD#: 159035
La Jolla, CA
Current

July 30, 2003 - Present

CHARLES SCHWAB & CO., INC.

Office #1: 7777 Fay Ave Suite 105, La Jolla, CA 92037-4325
RIA
BD
CRD#: 5393
La Jolla, CA
Past

September 1, 2022 - October 14, 2022

TD AMERITRADE, INC.

RIA
CRD#: 7870
La Jolla, CA
Past

September 1, 2022 - May 19, 2024

TD AMERITRADE, INC.

BD
CRD#: 7870
La Jolla, CA
Past

November 19, 2003 - February 12, 2026

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
LA JOLLA, CA
Past

February 5, 1998 - December 31, 2002

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
Arizona
(11/29/2012)
RR
California
(7/30/2003)
IAR
California
(2/11/2026)
RR
Colorado
(1/4/2010)
RR
Florida
(3/29/2019)
RR
Georgia
(1/3/2014)
RR
Idaho
(3/29/2019)
RR
Illinois
(5/15/2019)
RR
Iowa
(4/1/2019)
RR
Maine
(3/29/2019)
RR
Massachusetts
(6/30/2016)
RR
Michigan
(4/2/2019)
RR
Minnesota
(3/28/2019)
RR
Missouri
(4/1/2019)
RR
Montana
(1/11/2010)
RR
Nevada
(5/20/2024)
RR
New Jersey
(2/14/2017)
RR
New Mexico
(3/28/2019)
RR
New York
(2/4/2015)
RR
North Carolina
(12/16/2013)
RR
Oklahoma
(3/28/2019)
RR
Oregon
(1/5/2010)
RR
Pennsylvania
(4/2/2019)
RR
South Carolina
(4/1/2019)
RR
South Dakota
(4/5/2019)
RR
Texas
(2/2/2015)
RR
Utah
(3/29/2019)
RR
Virginia
(1/3/2012)
RR
Washington
(1/4/2010)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/17/2003
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 2/6/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/27/1998
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 4/12/2001
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 3/22/2001
General Securities Sales Supervisor - Options Module Examination
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
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)

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 (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.

Company Information

SCHWAB WEALTH ADVISORY, INC.

CRD#: 159035La Jolla, CA 92037-4325

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