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EB

Eric E. Berndt

SCHWAB WEALTH ADVISORY
PARKER, CO
Some features on this profile are disabled
CRD#: 4824438
EB

Professional summary

Eric Edward Berndt, CFP®, who also goes by Eric Berndt, is a registered financial advisor currently at SCHWAB WEALTH ADVISORY, INC. located in Parker, Colorado and CHARLES SCHWAB & CO., INC. located in Westlake, Texas.

Eric is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Eric has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Eric Berndt

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 Eric Edward Berndt'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

July 22, 2014 - Present

SCHWAB WEALTH ADVISORY, INC.

RIA
CRD#: 159035
PARKER, CO
Current

July 21, 2014 - Present

CHARLES SCHWAB & CO., INC.

Office #1: 3000 Schwab Way, Westlake, TX 76262
RIA
BD
CRD#: 5393
Westlake, TX
Past

December 19, 2011 - June 26, 2014

USAA FINANCIAL PLANNING SERVICES

RIA
CRD#: 106352
COLORADO SPRINGS, CO
Past

February 28, 2011 - December 21, 2011

USAA INVESTMENT SERVICES COMPANY

RIA
CRD#: 5475
COLORADO SPRINGS, CO
Past

January 12, 2011 - June 26, 2014

USAA FINANCIAL ADVISORS, INC.

BD
CRD#: 129035
COLORADO SPRINGS, CO
Past

September 8, 2004 - October 25, 2004

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.

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
Alabama
(7/23/2014)
RR
Alaska
(10/5/2015)
RR
Arizona
(8/15/2014)
RR
Arkansas
(7/22/2014)
RR
California
(7/21/2014)
RR
Colorado
(7/22/2014)
IAR
Colorado
(7/22/2014)
RR
Florida
(7/28/2014)
RR
Georgia
(10/17/2024)
RR
Hawaii
(10/8/2015)
RR
Idaho
(1/13/2026)
RR
Illinois
(9/15/2014)
RR
Iowa
(12/3/2014)
RR
Kansas
(7/25/2014)
RR
Louisiana
(7/25/2014)
RR
Maine
(11/25/2014)
RR
Massachusetts
(2/7/2024)
RR
Minnesota
(12/9/2024)
RR
Mississippi
(1/25/2024)
RR
Missouri
(7/21/2014)
RR
Montana
(7/22/2014)
RR
Nevada
(7/29/2014)
RR
New Mexico
(12/2/2014)
RR
North Carolina
(12/6/2016)
RR
Ohio
(11/17/2014)
RR
Oklahoma
(7/22/2014)
RR
Oregon
(5/21/2025)
RR
Pennsylvania
(2/2/2015)
RR
Tennessee
(2/11/2025)
RR
Texas
(8/1/2014)
IAR
Texas
(1/8/2020)
RR
Virginia
(11/25/2019)
RR
Washington
(7/28/2014)
RR
Wisconsin
(2/7/2024)
RR
Wyoming
(12/2/2014)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/3/2011
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 7
Date: 1/11/2011
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#: 159035Parker, CO

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