Patricia J. Holdman

SCHWAB WEALTH ADVISORY

Phoenix, AZ 85016-1215

Some features on this profile are disabled

CRD#: 5089863

Professional summary

Patricia J Holdman, CFP®, who also goes by Patricia Jane Brock, Patty Jane Brock, Patricia Jane Gravel, Patty Jane Gravel, Patricia Jane Holdman, Patricia Holdman, Patty Jane Holdman, is a registered financial advisor currently at SCHWAB WEALTH ADVISORY, INC. located in Phoenix, Arizona and CHARLES SCHWAB & CO., INC. located in Phoenix, Arizona.

Patricia is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Patricia has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

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 Patricia J Holdman'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 31, 2020 - Present

SCHWAB WEALTH ADVISORY, INC.

Office #1: 2423 E Lincoln Dr, Phoenix, AZ 85016-1215

RIA

CRD#: 159035

Phoenix, AZ

Current

July 30, 2020 - Present

CHARLES SCHWAB & CO., INC.

Office #1: 2423 E Lincoln Dr, Phoenix, AZ 85016-1215

RIA

CRD#: 5393

Phoenix, AZ

Past

August 7, 2015 - June 19, 2020

VANGUARD ADVISERS, INC.

RIA

CRD#: 106715

SCOTTSDALE, AZ

Past

June 9, 2011 - June 16, 2020

VANGUARD MARKETING CORPORATION

CRD#: 7452

SCOTTSDALE, AZ

Past

May 2, 2009 - February 25, 2011

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

KELLER, TX

Past

January 24, 2007 - May 2, 2009

WAMU INVESTMENTS, INC.

CRD#: 599

KELLER, TX

Past

February 28, 2006 - September 15, 2006

WAMU INVESTMENTS, INC.

CRD#: 599

KELLER, TX

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
(8/14/2024)

Alaska
(5/26/2022)

Arizona
(8/3/2020)

IAR

Arizona
(8/6/2020)

Arkansas
(8/14/2024)

IAR

California
(7/31/2020)

California
(10/7/2020)

Colorado
(5/27/2022)

Connecticut
(8/14/2024)

Delaware
(8/14/2024)

District of Columbia
(8/14/2024)

Florida
(6/9/2022)

Georgia
(2/7/2024)

Hawaii
(7/16/2024)

Idaho
(9/22/2020)

Illinois
(2/7/2024)

Indiana
(8/14/2024)

Iowa
(2/7/2024)

Kansas
(8/14/2024)

Kentucky
(8/14/2024)

Louisiana
(8/14/2024)

Maine
(8/14/2024)

Maryland
(8/14/2024)

Massachusetts
(2/7/2024)

Michigan
(1/5/2024)

Minnesota
(2/7/2024)

Mississippi
(8/14/2024)

Missouri
(8/14/2024)

Montana
(12/1/2021)

Nebraska
(8/14/2024)

Nevada
(8/14/2024)

New Hampshire
(1/23/2024)

New Jersey
(8/14/2024)

New Mexico
(9/2/2021)

New York
(2/7/2024)

North Carolina
(5/4/2021)

North Dakota
(8/14/2024)

Ohio
(8/14/2024)

Oklahoma
(8/14/2024)

Oregon
(10/2/2020)

Pennsylvania
(2/9/2021)

Puerto Rico
(8/14/2024)

Rhode Island
(8/14/2024)

South Carolina
(12/6/2021)

South Dakota
(8/14/2024)

Tennessee
(9/23/2020)

Texas
(9/3/2021)

IAR

Texas
(8/14/2024)

Utah
(11/1/2022)

Vermont
(8/14/2024)

Virgin Islands
(8/14/2024)

Virginia
(8/14/2024)

Washington
(2/23/2022)

West Virginia
(8/14/2024)

Wisconsin
(9/3/2021)

Wyoming
(8/14/2024)

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: 7/31/2015

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/28/2006

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: 6/30/2011

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/27/2006

Investment Company Products/Variable Contracts 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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

211 Main Street, San Francisco, CA 94105-1901

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 (9/23/2025)

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.

Similar Advisors

Joseph Di Vito

RBC CAPITAL MARKETS, LLC

IAR

Scottsdale, AZ

Luke Kacer

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Tucson, AZ

Timothy Hughes

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Scottsdale, AZ

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Patricia J. Holdman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Patricia J Holdman's CRS (Customer Relationship Summary).

Certified licenses

Experience

CHARLES SCHWAB & CO., INC.

VANGUARD ADVISERS, INC.

VANGUARD MARKETING CORPORATION

CHASE INVESTMENT SERVICES CORP.

WAMU INVESTMENTS, INC.

WAMU INVESTMENTS, INC.

Primary Firm SEC Registration

SCHWAB WEALTH ADVISORY, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/31/2015

Series 63

Date: 2/28/2006

SIE

Date: 10/1/2018

Series 7

Date: 6/30/2011

Series 6

Date: 2/27/2006

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

Similar Advisors