TS
Tara J. Smith
SCHWAB WEALTH ADVISORY
PHOENIX, AZ 85016-1215
Some features on this profile are disabled
CRD#: 3168252
TS
Professional summary
Tara Jane Smith, CFP® is a registered financial advisor currently at SCHWAB WEALTH ADVISORY, INC. located in Phoenix, Arizona and CHARLES SCHWAB & CO., INC. located in Phoenix, Arizona.
Tara is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Tara has worked at 4 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
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.
(1) PARADISE VALLEY COMMUNITY COLLEGE, PHOENIX, ARIZONA, START DATE 01/01/2004, NOT INVESTMENT RELATED, ADJUNCT FACULTY, ONLINE CLASSROOM INSTRUCTION FOR INTRODUCTION TO BUSINESS, PERSONAL AND WORKPLACE DEVELOPMENT AND INTRODUCTION TO INTERNATIONAL BUSINESS, LESS THAN 20 HOURS PER MONTH, NONE DURING SECURITIES TRADING HOURS; (2) INDEPENDENT CONTRACTOR, SCOTTSDALE, ARIZONA, START DATE 08/08/2011, NOT INVESTMENT RELATED, FITNESS INSTRUCTOR, INSTRUCTING FITNESS THROUGH INDEPENDENT STUDIOS AND HOMES, LESS THAN 20 HOURS PER MONTH, NONE DURING SECURITIES TRADING HOURS; (4) YOUNG LIVING ESSENTIAL OILS, LAWRENCEFILLE, GEORGIA, START DATE 08/08/2018, NOT INVESTMENT RELATED, CONSULTANT, LESS THAN 20 HOURS PER MONTH, NONE DURING SECURITIES TRADING HOURS; (5) SELF EMPLOYED, NOT INVESTMENT RELATED, PHOENIX, ARIZONA, START DATE 07/01/2019, AUTHOR, WRITING BOOK ON ADOPTION PROCESS, LESS THAN 20 HOURS PER MONTH, NONE DURING SECURITIES TRADING HOURS; (6) THE VILLAGES/DMB CLUBS, NOT INVESTMENT RELATED, SCOTTSDALE, ARIZONA, START DATE 08/04/2019, PILATES/FITNESS INSTRUCTOR, SUBSTITUTE FITNESS CLASSES, LESS THAN 20 HOURS PER MONTH, NONE DURING SECURITIES TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Tara Jane Smith's 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®
Experience
Current
January 24, 2013 - Present
SCHWAB WEALTH ADVISORY, INC.
Office #1: 2423 E. Lincoln Drive, Phoenix, AZ 85016-1215RIA
CRD#: 159035
PHOENIX, AZ
Current
January 16, 2013 - Present
CHARLES SCHWAB & CO., INC.
Office #1: 2423 E Lincoln Dr, Phoenix, AZ 85016-1215RIA
BD
CRD#: 5393
Phoenix, AZ
Past
November 11, 2009 - November 8, 2011
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
PHOENIX, AZ
Past
November 11, 2009 - November 8, 2011
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
PHOENIX, AZ
Past
June 23, 2008 - October 16, 2009
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
SCOTTSDALE, AZ
Past
June 6, 2008 - October 16, 2009
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SCOTTSDALE, AZ
Past
February 11, 2004 - May 29, 2008
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
PHOENIX, AZ
Past
December 13, 1999 - May 29, 2008
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
PHOENIX, AZ
Past
January 29, 1999 - November 16, 1999
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SMITHFIELD, RI
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
Alaska(1/2/2014)
RR
Arizona(1/24/2013)
IAR
Arizona(1/24/2013)
RR
California(1/16/2013)
RR
Colorado(1/16/2013)
RR
Connecticut(1/2/2014)
RR
Florida(1/16/2013)
RR
Georgia(1/16/2013)
RR
Idaho(5/2/2025)
RR
Illinois(1/16/2013)
RR
Indiana(1/2/2014)
RR
Iowa(1/2/2014)
RR
Kansas(6/18/2025)
RR
Maine(1/2/2014)
RR
Maryland(1/2/2014)
RR
Massachusetts(1/16/2013)
RR
Minnesota(1/16/2013)
RR
Missouri(1/16/2013)
RR
Nebraska(3/7/2024)
RR
Nevada(1/16/2013)
RR
New Hampshire(6/21/2024)
RR
New Mexico(1/16/2013)
RR
New York(1/16/2013)
RR
North Carolina(1/17/2013)
RR
Ohio(1/17/2013)
RR
Oregon(1/16/2013)
RR
South Carolina(1/2/2014)
RR
Tennessee(1/16/2013)
RR
Texas(1/16/2013)
IAR
Texas(1/10/2021)
RR
Washington(1/16/2013)
RR
Wisconsin(1/2/2014)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
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
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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)
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.
