DW
Daniel P. Wellman
SCHWAB WEALTH ADVISORY
Phoenix, AZ 85044
Some features on this profile are disabled
CRD#: 5367306
DW
Professional summary
Daniel Peter Wellman, CFP® is a registered financial advisor currently at SCHWAB WEALTH ADVISORY, INC. located in Phoenix, Arizona and CHARLES SCHWAB & CO., INC. located in Phoenix, Arizona.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Daniel has worked at 2 firms and has passed the Series 66, Series 63, Series 57TO, SIE, Series 3, Series 55, Series 7, Series 9 and Series 10 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Peter Wellman's 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®
Experience
Current
April 6, 2016 - Present
SCHWAB WEALTH ADVISORY, INC.
Office #1: 8040 South 48th Street, Phoenix, AZ 85044RIA
CRD#: 159035
Phoenix, AZ
Current
July 23, 2007 - Present
CHARLES SCHWAB & CO., INC.
Office #1: 8040 South 48th Street, Phoenix, AZ 85044RIA
BD
CRD#: 5393
Phoenix, AZ
Past
November 23, 2015 - March 23, 2016
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
Phoenix, AZ
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
Alabama(7/14/2010)
RR
Alaska(1/4/2011)
RR
Arizona(8/8/2007)
IAR
Arizona(4/6/2016)
RR
Arkansas(7/14/2010)
RR
California(1/8/2008)
RR
Colorado(7/14/2010)
RR
Connecticut(7/22/2010)
RR
Delaware(1/11/2011)
RR
District of Columbia(1/4/2011)
RR
Florida(1/10/2008)
RR
Georgia(7/14/2010)
RR
Hawaii(3/6/2008)
RR
Idaho(2/21/2008)
RR
Illinois(1/3/2011)
RR
Indiana(1/6/2011)
RR
Iowa(1/7/2011)
RR
Kansas(7/14/2010)
RR
Kentucky(2/21/2008)
RR
Louisiana(7/14/2010)
RR
Maine(1/3/2011)
RR
Maryland(1/4/2011)
RR
Massachusetts(1/6/2010)
RR
Michigan(1/22/2010)
RR
Minnesota(1/3/2011)
RR
Mississippi(7/26/2010)
RR
Missouri(1/6/2010)
RR
Montana(1/3/2011)
RR
Nebraska(1/12/2011)
RR
Nevada(1/14/2011)
RR
New Hampshire(1/3/2011)
RR
New Jersey(1/8/2008)
RR
New Mexico(7/14/2010)
RR
New York(1/4/2011)
RR
North Carolina(7/14/2010)
RR
North Dakota(1/4/2011)
RR
Ohio(1/9/2008)
RR
Oklahoma(2/25/2008)
RR
Oregon(1/4/2010)
RR
Pennsylvania(1/4/2011)
RR
Puerto Rico(2/7/2024)
RR
Rhode Island(7/14/2010)
RR
South Carolina(7/14/2010)
RR
South Dakota(1/7/2011)
RR
Tennessee(1/13/2011)
RR
Texas(9/14/2010)
RR
Utah(2/25/2008)
RR
Vermont(1/11/2011)
RR
Virgin Islands(2/7/2024)
RR
Virginia(1/6/2011)
RR
Washington(1/6/2011)
RR
West Virginia(2/21/2008)
RR
Wisconsin(1/4/2010)
RR
Wyoming(7/14/2010)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 11/11/2011
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
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
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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)
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
