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SW

Stephen L. Watkins

SCHWAB WEALTH ADVISORY
Orlando, FL 32810
Some features on this profile are disabled
CRD#: 4602810
SW

Professional summary

Stephen Lloyd Watkins, CFP®, who also goes by Stephen L Watkins, Stephen Lloyd Watkins, Stephen Watkins, is a registered financial advisor currently at SCHWAB WEALTH ADVISORY, INC. located in Orlando, Florida and CHARLES SCHWAB & CO., INC. located in Orlando, Florida.

Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Stephen has worked at 4 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Stephen L Watkins | Stephen Lloyd Watkins | Stephen Watkins

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Lloyd Watkins'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

March 24, 2014 - Present

SCHWAB WEALTH ADVISORY, INC.

Office #1: 1991 Summit Park Drive, Orlando, FL 32810
RIA
CRD#: 159035
Orlando, FL
Current

March 10, 2014 - Present

CHARLES SCHWAB & CO., INC.

Office #1: 1991 Summit Park Drive, Orlando, FL 32810
RIA
BD
CRD#: 5393
Orlando, FL
Past

December 16, 2010 - January 3, 2014

MORGAN STANLEY

RIA
CRD#: 149777
MELBOURNE, FL
Past

December 16, 2010 - January 3, 2014

MORGAN STANLEY

BD
CRD#: 149777
MELBOURNE, FL
Past

January 23, 2003 - December 21, 2010

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
MELBOURNE, FL
Past

January 2, 2003 - December 21, 2010

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
MELBOURNE, FL

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
Arizona
(3/10/2014)
RR
California
(3/10/2014)
RR
Colorado
(5/20/2014)
RR
Connecticut
(3/10/2014)
RR
District of Columbia
(3/11/2025)
RR
Florida
(3/10/2014)
IAR
Florida
(3/24/2014)
RR
Georgia
(12/2/2014)
RR
Hawaii
(1/4/2025)
RR
Idaho
(7/21/2017)
RR
Illinois
(9/19/2014)
RR
Iowa
(3/10/2014)
RR
Maine
(10/28/2024)
RR
Maryland
(5/9/2025)
RR
Massachusetts
(3/10/2014)
RR
Michigan
(8/12/2015)
RR
Nevada
(10/8/2018)
RR
New Hampshire
(11/12/2024)
RR
New Jersey
(3/10/2014)
RR
New York
(3/10/2014)
RR
North Carolina
(5/30/2014)
RR
Oklahoma
(3/27/2023)
RR
Pennsylvania
(3/10/2014)
RR
Rhode Island
(3/10/2014)
RR
Tennessee
(7/15/2024)
RR
Texas
(7/24/2024)
IAR
Texas
(10/28/2024)
RR
Utah
(6/28/2017)
RR
Virginia
(3/10/2014)
RR
Washington
(4/3/2014)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/17/2003
Uniform Combined 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: 2/28/2006
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 12/26/2002
General Securities Representative Examination
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
Registered Investment Advisory firm - (12/9/2011 Approved)
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Contact information

Main Address
9800 Schwab Way, Lone Tree, CO 80124
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 (12/11/2025)

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#: 159035Orlando, FL 32810

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