John D. Huddleston

SCHWAB WEALTH ADVISORY

Lone Tree, CO 80124

Some features on this profile are disabled

CRD#: 5436594

Professional summary

John David Huddleston, who also goes by John Huddleston, is a registered financial advisor currently at SCHWAB WEALTH ADVISORY, INC. located in Lone Tree, Colorado and CHARLES SCHWAB & CO., INC. located in Lone Tree, Colorado.

John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. John has worked at 10 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 6, Series 10, Series 9 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

John Huddleston

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John David Huddleston'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

April 17, 2023 - Present

SCHWAB WEALTH ADVISORY, INC.

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

RIA

CRD#: 159035

Lone Tree, CO

Current

January 26, 2022 - Present

CHARLES SCHWAB & CO., INC.

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

RIA

CRD#: 5393

Lone Tree, CO

Past

January 26, 2022 - April 17, 2023

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Fort Collins, CO

Past

February 27, 2018 - October 14, 2022

TD AMERITRADE, INC.

RIA

CRD#: 7870

Lone Tree, CO

Past

February 26, 2018 - April 17, 2023

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

Fort Collins, CO

Past

February 26, 2018 - April 17, 2023

TD AMERITRADE, INC.

CRD#: 7870

Lone Tree, CO

Past

May 18, 2017 - February 26, 2018

SCOTTRADE INVESTMENT MANAGEMENT

RIA

CRD#: 169988

SAINT LOUIS, MO

Past

May 18, 2017 - February 26, 2018

SCOTTRADE, INC.

CRD#: 8206

COLORADO SPRINGS, CO

Past

July 8, 2015 - November 3, 2016

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

GREENWOOD VILLAGE, CO

Past

May 18, 2015 - November 2, 2016

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

GREENWOOD VILLAGE, CO

Past

April 29, 2013 - May 11, 2015

T. ROWE PRICE ADVISORY SERVICES, INC.

RIA

CRD#: 108958

COLORADO SPRINGS, CO

Past

March 31, 2008 - May 11, 2015

T. ROWE PRICE INVESTMENT SERVICES, INC.

CRD#: 8348

COLORADO SPRINGS, CO

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
(2/7/2024)

Alaska
(2/7/2024)

Arizona
(5/5/2022)

Arkansas
(2/7/2024)

California
(1/26/2022)

Colorado
(1/26/2022)

IAR

Colorado
(4/17/2023)

Connecticut
(2/7/2024)

Delaware
(2/7/2024)

District of Columbia
(2/7/2024)

Florida
(5/6/2022)

Georgia
(1/26/2022)

Hawaii
(5/11/2022)

Idaho
(2/7/2024)

Illinois
(5/13/2022)

Indiana
(2/9/2022)

Iowa
(1/27/2022)

Kansas
(1/27/2022)

Kentucky
(2/7/2024)

Louisiana
(1/31/2022)

Maine
(2/7/2024)

Maryland
(1/27/2022)

Massachusetts
(2/7/2024)

Michigan
(1/28/2022)

Minnesota
(1/27/2022)

Mississippi
(2/7/2024)

Missouri
(2/7/2024)

Montana
(2/7/2024)

Nebraska
(2/4/2022)

Nevada
(2/7/2024)

New Hampshire
(2/7/2024)

New Jersey
(5/6/2022)

New Mexico
(1/27/2022)

New York
(2/7/2024)

North Carolina
(2/7/2024)

North Dakota
(2/7/2024)

Ohio
(2/7/2024)

Oklahoma
(1/27/2022)

Oregon
(8/13/2022)

Pennsylvania
(2/7/2024)

Puerto Rico
(2/7/2024)

Rhode Island
(2/7/2024)

South Carolina
(1/27/2022)

South Dakota
(5/13/2022)

Tennessee
(1/27/2022)

Texas
(1/27/2022)

Utah
(1/31/2022)

Vermont
(2/7/2024)

Virgin Islands
(2/7/2024)

Virginia
(2/24/2022)

Washington
(1/27/2022)

West Virginia
(2/7/2024)

Wisconsin
(1/28/2022)

Wyoming
(1/31/2022)

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: 4/26/2013

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/30/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/28/2010

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/28/2008

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 10

Date: 11/5/2015

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 10/1/2015

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 24

Date: 2/3/2014

General Securities Principal 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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Advisor Monitoring

Firm Stability Insights

John D. Huddleston

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John David Huddleston'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.

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

T. ROWE PRICE ADVISORY SERVICES, INC.

T. ROWE PRICE INVESTMENT SERVICES, INC.

Primary Firm SEC Registration

SCHWAB WEALTH ADVISORY, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 4/26/2013

Series 63

Date: 5/30/2008

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 5/28/2010

Series 6

Date: 3/28/2008

Series 10

Date: 11/5/2015

Series 9

Date: 10/1/2015

Series 24

Date: 2/3/2014

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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