Derek P. Shadick

SCHWAB WEALTH ADVISORY

Orlando, FL 32810

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CRD#: 5057935

Professional summary

Derek Paul Shadick, who also goes by Derek Shadick, is a registered financial advisor currently at SCHWAB WEALTH ADVISORY, INC. located in Orlando, Florida and CHARLES SCHWAB & CO., INC. located in Orlando, Florida.

Derek is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Derek has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Aliases

Derek Shadick

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 Derek Paul Shadick'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

July 8, 2026 - Present

SCHWAB WEALTH ADVISORY, INC.

Office #1: 1991 Summit Park Drive, Orlando, FL 32810

RIA

CRD#: 159035

Orlando, FL

Current

June 16, 2018 - Present

CHARLES SCHWAB & CO., INC.

Office #1: 1991 Summit Park Drive, Orlando, FL 32810

RIA

CRD#: 5393

Orlando, FL

Past

June 18, 2018 - June 24, 2026

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Orlando, FL

Past

March 25, 2016 - February 8, 2017

HARRISDIRECT LLC

RIA

CRD#: 42159

Orlando, FL

Past

March 9, 2016 - February 8, 2017

E*TRADE SECURITIES LLC

CRD#: 29106

ORLANDO, FL

Past

November 7, 2012 - July 7, 2015

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

LAKELAND, FL

Past

November 6, 2012 - July 7, 2015

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

LAKELAND, FL

Past

November 21, 2008 - July 12, 2012

STIFEL, NICOLAUS & COMPANY, INCORPORATED

RIA

CRD#: 793

RHINELANDER, WI

Past

November 21, 2008 - July 12, 2012

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793

RHINELANDER, WI

Past

October 12, 2006 - December 11, 2008

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

RHINELANDER, WI

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

California
(6/16/2018)

Florida
(6/16/2018)

IAR

Florida
(7/8/2026)

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: 10/5/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/10/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/11/2006

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

Derek P. Shadick

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Derek Paul Shadick's CRS (Customer Relationship Summary).

Certified licenses

Experience

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

HARRISDIRECT LLC

E*TRADE SECURITIES LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

STIFEL, NICOLAUS & COMPANY, INCORPORATED

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

SCHWAB WEALTH ADVISORY, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/5/2007

Series 63

Date: 1/10/2007

SIE

Date: 10/1/2018

Series 7

Date: 10/11/2006

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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