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RN

Richard A. Nitz

Some features on this profile are disabled
CRD#: 4177808
RN

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Richard A Nitz, CFP®, who also goes by Richard A Nitz, Richard Alan Nitz, was a registered financial professional .

Richard is a previously registered financial professional and started their career in finance in 2000. Richard had worked at 6 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 31, Series 7, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Richard A Nitz | Richard Alan Nitz

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.
10/2/2013-ORLANDO SOLAR BEARS' OFF ICE OFFICIALS, ORLANDO, FL. NOT INVESTMENT RELATED. SPORTS/PHYSICAL RECREATION. OFF ICE OFFICIAL-KEEP GAME STATS, UPDATE THE ECHL WEBSITE, GOAL JUDGE, PENALTY BOX OFFICIAL. LESS THAN 20 HRS/MONTH AND NOT DURING TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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: 2006

Experience

Past

February 17, 2012 - June 19, 2025

SCHWAB WEALTH ADVISORY, INC.

RIA
CRD#: 159035
ORLANDO, FL
Past

January 26, 2012 - March 23, 2012

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
ORLANDO, FL
Past

September 25, 2007 - December 31, 2011

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
ORLANDO, FL
Past

September 21, 2007 - June 19, 2025

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
Orlando, FL
Past

September 20, 2005 - August 29, 2007

CUNA BROKERAGE SERVICES, INC.

RIA
CRD#: 13941
ORLANDO, FL
Past

March 11, 2003 - August 29, 2007

CUNA BROKERAGE SERVICES, INC.

BD
CRD#: 13941
ORLANDO, FL
Past

May 17, 2002 - February 19, 2003

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

October 1, 2001 - April 30, 2002

SECURIAN FINANCIAL SERVICES, INC.

BD
CRD#: 15296
ST. PAUL, MN
Past

June 20, 2000 - August 22, 2001

EDWARD JONES

BD
CRD#: 250
ST. LOUIS, MO

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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/19/2005
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 10/19/2001
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/22/2000
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 31
Date: 5/23/2002
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 6/19/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 8/30/2002
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 7/1/2002
General Securities Sales Supervisor - Options Module Examination

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
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)

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 (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.

Company Information

SCHWAB WEALTH ADVISORY, INC.

CRD#: 159035

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