Rodney L. Hazelton

SCHWAB WEALTH ADVISORY

Omaha, NE 68154

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CRD#: 5400350

Professional summary

Rodney Lee Hazelton Jr, who also goes by Rodney L Hazelton, Rodney Lee Hazelton, Rodney Hazelton, is a registered financial advisor currently at SCHWAB WEALTH ADVISORY, INC. located in Omaha, Nebraska and CHARLES SCHWAB & CO., INC. located in Omaha, Nebraska.

Rodney is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Rodney has worked at 8 firms and has passed the Series 66, SIE, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rodney L Hazelton | Rodney Lee Hazelton | Rodney Hazelton

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.

Pidmont Park SDA Church|Investment Related:No|4801 A Street;Lincoln;NE;68510;USA|Nonprofit Charitable Organizations|Finance Committee Member|2019-07-01|HoursPerMonth:Less than 20|HoursSpentduringSecurityTrading:0|1 of 6-8 committee members, responsible for budgeting resources to carry on church mission. My duties are general in nature and exclude management of securities. I have no authority to buy, sell or transfer any church assets.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rodney Lee Hazelton Jr'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

June 21, 2023 - Present

SCHWAB WEALTH ADVISORY, INC.

Office #1: 200 South 108th Ave., Omaha, NE 68154

RIA

CRD#: 159035

Omaha, NE

Current

December 13, 2019 - Present

CHARLES SCHWAB & CO., INC.

Office #1: 200 S. 108 Ave, Omaha, NE 68154

RIA

CRD#: 5393

Omaha, NE

Past

December 19, 2019 - December 26, 2023

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Omaha, NE

Past

March 1, 2018 - September 11, 2019

TD AMERITRADE, INC.

RIA

CRD#: 7870

LINCOLN, NE

Past

February 26, 2018 - September 11, 2019

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

LINCOLN, NE

Past

February 26, 2018 - September 11, 2019

TD AMERITRADE, INC.

CRD#: 7870

LINCOLN, NE

Past

April 5, 2017 - February 26, 2018

SCOTTRADE INVESTMENT MANAGEMENT

RIA

CRD#: 169988

SAINT LOUIS, MO

Past

December 18, 2008 - February 26, 2018

SCOTTRADE, INC.

CRD#: 8206

LINCOLN, NE

Past

August 29, 2008 - December 16, 2008

AMERITAS INVESTMENT COMPANY, LLC

RIA

CRD#: 14869

LINCOLN, NE

Past

July 17, 2008 - December 16, 2008

AMERITAS INVESTMENT COMPANY, LLC

CRD#: 14869

LINCOLN, NE

Past

October 18, 2007 - April 17, 2008

EDWARD JONES

RIA

CRD#: 250

LINCOLN, NE

Past

September 27, 2007 - April 17, 2008

EDWARD JONES

CRD#: 250

LINCOLN, 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

Arizona
(1/26/2024)

Arkansas
(4/12/2024)

California
(2/6/2020)

Colorado
(5/7/2024)

Florida
(2/6/2020)

Georgia
(12/4/2024)

Illinois
(2/6/2020)

Iowa
(2/6/2020)

Kansas
(7/3/2023)

Minnesota
(5/7/2024)

Missouri
(2/6/2020)

Nebraska
(12/13/2019)

IAR

Nebraska
(6/22/2023)

New York
(2/6/2020)

North Carolina
(8/3/2024)

Ohio
(2/15/2024)

Oklahoma
(5/1/2024)

South Dakota
(2/6/2020)

Tennessee
(2/6/2020)

Texas
(3/7/2024)

Virginia
(6/6/2024)

Washington
(11/6/2024)

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 66

Date: 10/11/2007

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: 9/26/2007

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 11/19/2012

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 9/25/2012

General Securities Sales Supervisor - Options Module 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

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.

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Rodney L. Hazelton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rodney Lee Hazelton Jr's CRS (Customer Relationship Summary).

Certified licenses

Experience

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

SCOTTRADE INVESTMENT MANAGEMENT

SCOTTRADE, INC.

AMERITAS INVESTMENT COMPANY, LLC

AMERITAS INVESTMENT COMPANY, LLC

EDWARD JONES

EDWARD JONES

Primary Firm SEC Registration

SCHWAB WEALTH ADVISORY, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 10/11/2007

SIE

Date: 10/1/2018

Series 7

Date: 9/26/2007

Series 10

Date: 11/19/2012

Series 9

Date: 9/25/2012

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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