Scott C. Schramm
Professional summary
Scott C Schramm, who also goes by Scott Christopher Schramm, is a registered financial advisor currently at SCHWAB WEALTH ADVISORY, INC. located in Westlake, Texas and CHARLES SCHWAB & CO., INC. located in Westlake, Texas.
Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Scott has worked at 2 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Scott C Schramm's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 3, 2012 - Present
SCHWAB WEALTH ADVISORY, INC.
Office #1: 3000 Schwab Way, Westlake, TX 76262September 24, 1999 - Present
CHARLES SCHWAB & CO., INC.
Office #1: 3000 Schwab Way, Westlake, TX 76262January 5, 2012 - May 10, 2012
CHARLES SCHWAB & CO., INC.
July 7, 2004 - December 31, 2011
CHARLES SCHWAB & CO., INC.
Primary Firm SEC Registration
SCHWAB WEALTH ADVISORY, INC.
CRD#: 159035 / SEC#: 801-72795
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/16/2014)
(1/6/2010)
(1/4/2007)
(8/22/2016)
(10/15/1999)
(1/4/2007)
(10/18/2016)
(1/22/2004)
(3/9/2009)
(9/28/1999)
(11/8/1999)
(1/5/2012)
(1/5/2007)
(1/4/2007)
(4/13/2006)
(1/5/2012)
(1/5/2012)
(12/20/2006)
(8/22/2016)
(3/9/2009)
(1/5/2012)
(1/6/2010)
(11/8/1999)
(1/12/2011)
(10/11/2018)
(9/20/2011)
(8/22/2016)
(1/5/2012)
(10/16/2014)
(3/9/2009)
(11/8/1999)
(8/21/2013)
(11/8/1999)
(1/23/2004)
(12/20/2006)
(8/22/2016)
(3/9/2009)
(1/22/2004)
(1/22/2004)
(1/5/2012)
(4/13/2006)
(1/5/2012)
(8/18/2016)
(1/6/2012)
(1/5/2012)
(8/21/2013)
(1/6/2012)
(1/4/2007)
(1/4/2007)
(8/21/2013)
Exams
FINRA
Nasdaq Stock Market
Current Firm
SCHWAB WEALTH ADVISORY, INC.
CRD#: 159035 / SEC#: 801-72795
Contact information
SEC notice filing (53 States and Territories)
Red Flags
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