Ronald V. Regan

SCHWAB WEALTH ADVISORY

Westlake, TX 76262-8104

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CRD#: 3259479

Professional summary

Ronald Vincent Regan, CFP®, who also goes by Ronald V Regan Jr, Ronald VIncent Regan Jr, Ronald Vincent Regan Jr., Ronald Vincent Regan, Ronald Vincent Jr Regan, Vince Regan, is a registered financial advisor currently at SCHWAB WEALTH ADVISORY, INC. located in Westlake, Texas and CHARLES SCHWAB & CO., INC. located in Westlake, Texas.

Ronald is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Ronald has worked at 6 firms and has passed the Series 63, Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

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.

OAA#: 31005 | Org Name:Market Technicians Association Chapter | Org Addr:DALLAS, TX, US | Nature of Bus:networking among market technical analysts | Invst Rel:N | Title:Co-Chair of Dallas Chapter | Duties:setup monthly events, monitor the Chapter and association message boards. | Start Dt:03/05/2013 | Total Hrs p/m:10 | Sec Trdng Hrs p/m:4 Wilshire Valley Homeowners Association | Not Investment Related | Construction - Residential/Commercial- Office | Architecture Review Committee | Start date: 10.02.21 | For less than 20 hours per month, none during trading hours. | Not government per se, but closest option. I ensure that homeowners that want to improve their property do so with proper forms and within stated CCR and guidelines.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ronald Vincent Regan'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

February 8, 2022 - Present

SCHWAB WEALTH ADVISORY, INC.

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

RIA

CRD#: 159035

Westlake, TX

Current

April 25, 2022 - Present

CHARLES SCHWAB & CO., INC.

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

RIA

CRD#: 5393

Westlake, TX

Past

November 15, 2017 - December 31, 2017

TD AMERITRADE, INC.

RIA

CRD#: 7870

FORT WORTH, TX

Past

November 15, 2017 - May 10, 2022

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

Southlake, TX

Past

November 14, 2017 - December 31, 2017

TD AMERITRADE, INC.

CRD#: 7870

FORT WORTH, TX

Past

October 21, 2014 - October 6, 2017

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

WESTLAKE, TX

Past

October 16, 2014 - October 4, 2017

CRD#: 5393

FORT WORTH, 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".

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
(6/7/2022)

Alaska
(11/25/2022)

Arizona
(3/29/2023)

California
(6/7/2022)

Colorado
(6/8/2022)

Connecticut
(1/9/2023)

Delaware
(2/15/2024)

District of Columbia
(5/13/2022)

Florida
(4/28/2022)

Georgia
(7/11/2023)

Idaho
(1/25/2023)

Illinois
(5/9/2023)

Indiana
(3/6/2023)

Iowa
(2/8/2024)

Louisiana
(6/10/2022)

Maine
(7/10/2023)

Maryland
(8/16/2022)

Massachusetts
(2/8/2024)

Minnesota
(2/7/2024)

Mississippi
(3/7/2024)

Missouri
(6/7/2022)

Nebraska
(7/8/2022)

New York
(1/6/2023)

North Carolina
(11/10/2022)

Ohio
(2/7/2024)

Oregon
(9/29/2023)

Pennsylvania
(9/29/2022)

South Carolina
(5/31/2023)

Tennessee
(8/17/2022)

IAR

Texas
(2/8/2022)

Texas
(6/6/2022)

Virginia
(11/30/2022)

Washington
(10/31/2022)

Wisconsin
(6/15/2022)

Wyoming
(8/23/2023)

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: 6/3/2022

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 8/23/2007

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 9/29/1999

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)

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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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Advisor Monitoring

Firm Stability Insights

Ronald V. Regan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ronald Vincent Regan's CRS (Customer Relationship Summary).

Certified licenses

Experience

CHARLES SCHWAB & CO., INC.

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

SCHWAB WEALTH ADVISORY, INC.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

Primary Firm SEC Registration

SCHWAB WEALTH ADVISORY, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/3/2022

Series 66

Date: 8/23/2007

Series 7

Date: 9/29/1999

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

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