Patrick J. Smith

SCHWAB WEALTH ADVISORY

Omaha, NE

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CRD#: 5049635

Professional summary

Patrick John Smith, who also goes by Patrick J Smith, Patrick Smith, is a registered financial advisor currently at SCHWAB WEALTH ADVISORY, INC. located in Omaha, Nebraska and CHARLES SCHWAB & CO., INC. located in Omaha, Nebraska.

Patrick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Patrick has worked at 9 firms and has passed the Series 65, Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Patrick J Smith | Patrick Smith

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 Patrick John Smith'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

December 16, 2025 - Present

SCHWAB WEALTH ADVISORY, INC.

RIA

CRD#: 159035

Omaha, NE

Current

January 3, 2026 - Present

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Omaha, NE

Current

October 17, 2025 - Present

CHARLES SCHWAB & CO., INC.

Office #1: 9800 Schwab Way, Lone Tree, CO 80124

RIA

CRD#: 5393

Lone Tree, CO

Past

October 20, 2025 - December 16, 2025

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

LONE TREE, CO

Past

January 14, 2025 - June 11, 2025

TRADESTATION SECURITIES, INC.

CRD#: 39473

PLANTATION, FL

Past

January 26, 2022 - September 28, 2024

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Omaha, NE

Past

January 19, 2022 - September 28, 2024

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Omaha, NE

Past

February 18, 2009 - February 17, 2011

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

OMAHA, NE

Past

February 18, 2009 - January 19, 2022

TD AMERITRADE, INC.

RIA

CRD#: 7870

Omaha, NE

Past

February 17, 2009 - January 19, 2022

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

Past

March 26, 2008 - January 9, 2009

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

PAPILLION, NE

Past

March 5, 2008 - January 9, 2009

SECURITIES AMERICA, INC.

CRD#: 10205

PAPILLION, NE

Past

December 5, 2007 - February 22, 2008

FB ADVISORS, INC.

RIA

CRD#: 144488

OMAHA, NE

Past

April 22, 2006 - November 20, 2006

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

Past

March 23, 2006 - April 22, 2006

TD AMERITRADE CLEARING, INC.

CRD#: 5633

OMAHA, NE

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".

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.

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

Alabama
(11/12/2025)

Alaska
(11/12/2025)

Arizona
(11/12/2025)

Arkansas
(11/12/2025)

California
(11/12/2025)

Colorado
(10/17/2025)

Connecticut
(11/12/2025)

Delaware
(11/12/2025)

District of Columbia
(11/12/2025)

Florida
(11/12/2025)

Georgia
(11/12/2025)

Hawaii
(11/12/2025)

Idaho
(11/12/2025)

Illinois
(10/17/2025)

Indiana
(10/17/2025)

Iowa
(10/17/2025)

Kansas
(10/17/2025)

Kentucky
(11/12/2025)

Louisiana
(11/12/2025)

IAR

Louisiana
(12/22/2025)

Maine
(11/12/2025)

Maryland
(11/12/2025)

Massachusetts
(11/12/2025)

Michigan
(11/12/2025)

Minnesota
(10/17/2025)

Mississippi
(11/12/2025)

Missouri
(10/17/2025)

Montana
(11/12/2025)

Nebraska
(10/17/2025)

IAR

Nebraska
(12/22/2025)

Nevada
(11/12/2025)

New Hampshire
(11/12/2025)

New Jersey
(11/12/2025)

New Mexico
(11/12/2025)

New York
(11/12/2025)

North Carolina
(11/12/2025)

North Dakota
(11/12/2025)

Ohio
(11/12/2025)

Oklahoma
(10/17/2025)

Oregon
(11/12/2025)

Pennsylvania
(11/12/2025)

Puerto Rico
(11/12/2025)

Rhode Island
(11/12/2025)

South Carolina
(11/12/2025)

South Dakota
(10/17/2025)

Tennessee
(11/12/2025)

Texas
(11/12/2025)

IAR

Texas
(12/16/2025)

IAR

Texas
(1/3/2026)

Utah
(11/12/2025)

Vermont
(11/12/2025)

Virgin Islands
(11/12/2025)

Virginia
(11/12/2025)

Washington
(11/12/2025)

West Virginia
(11/12/2025)

Wisconsin
(10/17/2025)

Wyoming
(11/12/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/1/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 5/5/2006

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/22/2006

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

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)

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.

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Advisor Monitoring

Firm Stability Insights

Patrick J. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Patrick John Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

TRADESTATION SECURITIES, INC.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

TD AMERITRADE, INC.

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

FB ADVISORS, INC.

TD AMERITRADE, INC.

TD AMERITRADE CLEARING, INC.

Primary Firm SEC Registration

SCHWAB WEALTH ADVISORY, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/1/2007

Series 66

Date: 5/5/2006

SIE

Date: 10/1/2018

Series 7

Date: 3/22/2006

FINRA

Nasdaq Stock Market

Current Firm

SCHWAB WEALTH ADVISORY, INC.

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Red Flags

Company Information

SCHWAB WEALTH ADVISORY, INC.

TRUST BUT VERIFY

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