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MS

Megan N. Schwab

Some features on this profile are disabled
CRD#: 5590145
MS

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Megan Noel Schwab, who also goes by Megan N Schwab, Megan Schwab, was a registered financial professional .

Megan is a previously registered financial professional and started their career in finance in 2008. Megan had worked at 7 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Megan N Schwab | Megan Schwab

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 20, 2025 - April 11, 2026

SCHWAB WEALTH ADVISORY, INC.

RIA
CRD#: 159035
Phoenix, AZ
Past

August 19, 2025 - April 11, 2026

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
Phoenix, AZ
Past

November 5, 2021 - March 2, 2025

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
Tempe, AZ
Past

November 5, 2021 - March 2, 2025

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
Tempe, AZ
Past

January 6, 2021 - August 25, 2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
HILLIARD, OH
Past

January 6, 2021 - August 25, 2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
COLUMBUS, OH
Past

November 8, 2019 - December 22, 2020

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
Westerville, OH
Past

October 22, 2019 - December 22, 2020

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
Westerville, OH
Past

March 23, 2018 - October 11, 2019

JPMORGAN DISTRIBUTION SERVICES, INC.

BD
CRD#: 104234
COLUMBUS, OH
Past

August 31, 2011 - September 24, 2015

NATIONWIDE INVESTMENT SERVICES CORPORATION

BD
CRD#: 7110
DUBLIN, OH
Past

November 17, 2008 - August 8, 2011

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
COLUMBUS, OH

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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 11/1/2019
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/10/2018
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/23/2018
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 11/15/2008
Investment Company Products/Variable Contracts Representative Examination

Current Firm

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)
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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.

Company Information

SCHWAB WEALTH ADVISORY, INC.

CRD#: 159035

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