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AZ

Alan A. Zwicker

SCHWAB WEALTH ADVISORY
Boston, MA 02110
Some features on this profile are disabled
CRD#: 4966099
AZ

Professional summary

Alan Abraham Zwicker, who also goes by Alan Abraham Zwicker, Alan A Zwicker, is a registered financial advisor currently at SCHWAB WEALTH ADVISORY, INC. located in Boston, Massachusetts and CHARLES SCHWAB & CO., INC. located in Boston, Massachusetts.

Alan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Alan has worked at 10 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Alan Abraham Zwicker | Alan A Zwicker

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 Alan Abraham Zwicker'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®
None

Experience

Current

April 16, 2026 - Present

SCHWAB WEALTH ADVISORY, INC.

Office #1: One International Place Suite 2810, Boston, MA 02110
RIA
CRD#: 159035
Boston, MA
Current

April 3, 2026 - Present

CHARLES SCHWAB & CO., INC.

Office #1: One International Place, Boston, MA 02110-2600
RIA
BD
CRD#: 5393
Boston, MA
Past

September 9, 2025 - January 21, 2026

GOODMAN ADVISORY GROUP, LLC

RIA
CRD#: 285637
NEEDHAM, MA
Past

February 24, 2025 - January 20, 2026

LPL FINANCIAL LLC

BD
CRD#: 6413
NEEDHAM, MA
Past

December 1, 2011 - January 6, 2025

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA
CRD#: 2881
BOSTON, MA
Past

November 30, 2011 - January 6, 2025

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
BOSTON, MA
Past

February 12, 2008 - June 6, 2011

1ST GLOBAL ADVISORS INC

RIA
CRD#: 111133
HINGHAM, MA
Past

January 8, 2008 - June 6, 2011

1ST GLOBAL CAPITAL CORP.

BD
CRD#: 30349
HINGHAM, MA
Past

August 9, 2006 - May 7, 2007

NEW ENGLAND SECURITIES

BD
CRD#: 615
WALTHAM, MA
Past

August 19, 2005 - May 12, 2006

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

August 19, 2005 - May 12, 2006

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
QUINCY, MA

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
Massachusetts
(4/3/2026)
IAR
Massachusetts
(4/16/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/21/2005
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: 8/17/2005
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/5/2006
General Securities Principal 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)
PREMIUM
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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#: 159035Boston, MA 02110

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