Nathan F. Smith
Professional summary
Nathan Frederick Smith, CFP®, who also goes by Nathan F Smith, Nathan Frederick Smith, Nathan Frererick Smith, Nathan Smith, is a registered financial advisor currently at SCHWAB WEALTH ADVISORY, INC. located in Westlake, Texas and CHARLES SCHWAB & CO., INC. located in Westlake, Texas.
Nathan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Nathan has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Nathan Frederick Smith's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2019
Experience
September 26, 2025 - Present
SCHWAB WEALTH ADVISORY, INC.
Office #1: 3000 Schwab Way, Westlake, TX 76262-8104September 26, 2025 - Present
CHARLES SCHWAB & CO., INC.
Office #1: 3000 Schwab Way, Westlake, TX 76262January 26, 2022 - April 5, 2025
CHARLES SCHWAB & CO., INC.
January 26, 2022 - April 5, 2025
CHARLES SCHWAB & CO., INC.
February 5, 2008 - October 14, 2022
TD AMERITRADE, INC.
February 5, 2008 - September 7, 2023
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
April 22, 2006 - May 11, 2024
TD AMERITRADE, INC.
August 8, 2005 - July 6, 2006
TD AMERITRADE CLEARING, INC.
Primary Firm SEC Registration
SCHWAB WEALTH ADVISORY, INC.
CRD#: 159035 / SEC#: 801-72795
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/1/2025)
(10/1/2025)
(10/1/2025)
(10/1/2025)
(10/1/2025)
(10/1/2025)
(10/1/2025)
(10/1/2025)
(10/1/2025)
(10/1/2025)
(10/1/2025)
(10/1/2025)
(10/1/2025)
(10/1/2025)
(10/1/2025)
(10/1/2025)
(10/1/2025)
(10/1/2025)
(10/1/2025)
(10/1/2025)
(10/1/2025)
(10/1/2025)
(10/1/2025)
(10/1/2025)
(10/1/2025)
(10/1/2025)
(10/1/2025)
(10/1/2025)
(10/1/2025)
(10/1/2025)
(10/1/2025)
(10/1/2025)
(10/1/2025)
(10/1/2025)
(10/1/2025)
(10/1/2025)
(10/1/2025)
(10/1/2025)
(10/1/2025)
(10/1/2025)
(10/1/2025)
(10/1/2025)
(10/1/2025)
(10/1/2025)
(9/26/2025)
(9/26/2025)
(10/1/2025)
(10/1/2025)
(10/1/2025)
(10/1/2025)
(10/1/2025)
(10/1/2025)
(10/1/2025)
(10/1/2025)
Exams
FINRA
Nasdaq Stock Market
Current Firm
SCHWAB WEALTH ADVISORY, INC.
CRD#: 159035 / SEC#: 801-72795
Contact information
SEC notice filing (53 States and Territories)
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.
