Scott Shoates

SCHWAB WEALTH ADVISORY

Westlake, TX 76262-8104

Some features on this profile are disabled

CRD#: 3171938

Professional summary

Scott Shoates, CFP®, who also goes by Scott Garrett Shoates, 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 1999. Scott has worked at 8 firms and has passed the Series 63, Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Scott Garrett Shoates

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Shoates'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

January 14, 2022 - Present

SCHWAB WEALTH ADVISORY, INC.

Office #1: 3000 Schwab Way, Westlake, TX 76262-8104

RIA

CRD#: 159035

Westlake, TX

Current

February 11, 2022 - Present

CHARLES SCHWAB & CO., INC.

Office #1: 3000 Schwab Way, Westlake, TX 76262

RIA

CRD#: 5393

Westlake, TX

Past

July 23, 2018 - January 14, 2022

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

Southlake, TX

Past

February 2, 2018 - July 12, 2018

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

WESTLAKE, TX

Past

January 17, 2018 - July 9, 2018

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

WESTLAKE, TX

Past

January 29, 2016 - January 11, 2018

TD AMERITRADE, INC.

CRD#: 7870

FORT WORTH, TX

Past

January 21, 2016 - January 11, 2018

TD AMERITRADE, INC.

RIA

CRD#: 7870

FORT WORTH, TX

Past

January 21, 2016 - January 11, 2018

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

Fort Worth, TX

Past

September 10, 2010 - January 13, 2016

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

WESTLAKE, TX

Past

March 17, 2006 - January 5, 2016

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

WESTLAKE, TX

Past

January 29, 1999 - February 1, 2000

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

January 29, 1999 - February 1, 2000

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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

Alabama
(8/18/2022)

Alaska
(8/15/2024)

Arizona
(8/31/2022)

Arkansas
(2/8/2024)

California
(8/18/2022)

Colorado
(8/22/2022)

Connecticut
(9/27/2023)

Delaware
(10/6/2023)

District of Columbia
(8/14/2024)

Florida
(8/19/2022)

Georgia
(8/22/2022)

Hawaii
(9/28/2023)

Idaho
(3/7/2024)

Illinois
(8/30/2022)

Indiana
(8/14/2024)

Iowa
(8/18/2022)

Kansas
(8/18/2022)

Kentucky
(8/22/2022)

Louisiana
(8/22/2022)

Maine
(8/15/2024)

Maryland
(10/3/2023)

Massachusetts
(8/19/2022)

Michigan
(8/22/2022)

Minnesota
(8/18/2022)

Mississippi
(8/15/2024)

Missouri
(9/27/2023)

Montana
(8/18/2022)

Nebraska
(8/18/2022)

Nevada
(8/31/2022)

New Hampshire
(8/16/2024)

New Jersey
(9/2/2022)

New Mexico
(8/18/2022)

New York
(8/18/2022)

North Carolina
(2/8/2024)

North Dakota
(8/19/2024)

Ohio
(9/27/2023)

Oklahoma
(9/27/2023)

Oregon
(8/18/2022)

Pennsylvania
(8/19/2022)

Puerto Rico
(8/29/2024)

Rhode Island
(8/14/2024)

South Carolina
(8/18/2022)

South Dakota
(8/14/2024)

Tennessee
(8/19/2022)

IAR

Texas
(1/14/2022)

Texas
(6/21/2022)

Utah
(8/14/2024)

Vermont
(8/14/2024)

Virgin Islands
(8/20/2024)

Virginia
(9/27/2023)

Washington
(9/27/2023)

West Virginia
(8/21/2024)

Wisconsin
(8/15/2024)

Wyoming
(8/14/2024)

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: 6/17/2022

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 8/30/2010

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 7/9/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/21/2006

General Securities Representative 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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Similar Advisors

David Alvarez

EDWARD JONES

IAR

Grapevine, TX

Sean Leonard

LPL FINANCIAL LLC

IAR

Hurst, TX

Kerry Prazak

WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

IAR

SOUTHLAKE, TX

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Scott Shoates

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Shoates's CRS (Customer Relationship Summary).

Certified licenses

Experience

CHARLES SCHWAB & CO., INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

TD AMERITRADE, INC.

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

SCHWAB WEALTH ADVISORY, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/17/2022

Series 66

Date: 8/30/2010

SIE

Date: 7/9/2018

Series 7

Date: 2/21/2006

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

Similar Advisors