Joanna W. Peters

SCHWAB WEALTH ADVISORY

Phoenix, AZ 85016-1215

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CRD#: 5739515

Professional summary

Joanna Westhafer Peters, CFP®, who also goes by Joanna W Peters, Joanna Lee Westhafer, is a registered financial advisor currently at SCHWAB WEALTH ADVISORY, INC. located in Phoenix, Arizona and CHARLES SCHWAB & CO., INC. located in Phoenix, Arizona.

Joanna is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Joanna has worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joanna W Peters | Joanna Lee Westhafer

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.

Grand Canyon University/ Adjunct Faculty / Education/Teach 8 week classes virtually. Engage students in learning course objectives and topics/ Start date 02/01/2022/ Average hours per month less than 20. No invested realated/ public trading company yes.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joanna Westhafer Peters'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

November 17, 2023 - Present

SCHWAB WEALTH ADVISORY, INC.

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

RIA

CRD#: 159035

Phoenix, AZ

Current

November 13, 2023 - Present

CHARLES SCHWAB & CO., INC.

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

RIA

CRD#: 5393

Phoenix, AZ

Past

July 13, 2022 - November 3, 2023

VANGUARD ADVISERS, INC.

RIA

CRD#: 106715

Scottsdale, AZ

Past

July 13, 2022 - November 3, 2023

VANGUARD MARKETING CORPORATION

CRD#: 7452

SCOTTSDALE, AZ

Past

April 19, 2021 - April 20, 2022

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

SCOTTSDALE, AZ

Past

April 14, 2021 - April 18, 2022

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SCOTTSDALE, AZ

Past

July 31, 2019 - March 30, 2021

VANGUARD ADVISERS, INC.

RIA

CRD#: 106715

Scottsdale, AZ

Past

August 2, 2012 - March 30, 2021

VANGUARD MARKETING CORPORATION

CRD#: 7452

SCOTTSDALE, 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".

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
(11/14/2023)

IAR

Arizona
(11/17/2023)

Arkansas
(2/7/2024)

California
(2/7/2024)

Colorado
(2/7/2024)

Connecticut
(2/7/2024)

Delaware
(2/7/2024)

District of Columbia
(2/7/2024)

Florida
(1/30/2024)

Georgia
(2/7/2024)

Hawaii
(2/7/2024)

Idaho
(2/7/2024)

Illinois
(1/30/2024)

Indiana
(2/7/2024)

Iowa
(2/7/2024)

Kansas
(2/7/2024)

Kentucky
(2/7/2024)

Louisiana
(2/7/2024)

Maine
(2/7/2024)

Maryland
(2/7/2024)

Massachusetts
(2/7/2024)

Michigan
(2/7/2024)

Minnesota
(2/7/2024)

Mississippi
(2/7/2024)

Missouri
(2/7/2024)

Montana
(2/7/2024)

Nebraska
(2/7/2024)

Nevada
(1/30/2024)

New Hampshire
(2/7/2024)

New Jersey
(2/7/2024)

New Mexico
(2/7/2024)

New York
(2/7/2024)

North Carolina
(2/7/2024)

North Dakota
(2/7/2024)

Ohio
(2/7/2024)

Oklahoma
(2/7/2024)

Oregon
(2/7/2024)

Pennsylvania
(2/7/2024)

Rhode Island
(2/7/2024)

South Carolina
(2/7/2024)

South Dakota
(2/7/2024)

Tennessee
(2/7/2024)

Texas
(11/13/2023)

Utah
(2/7/2024)

Vermont
(2/7/2024)

Virginia
(2/7/2024)

Washington
(2/7/2024)

West Virginia
(2/7/2024)

Wisconsin
(2/7/2024)

Wyoming
(2/7/2024)

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

Series 63

Date: 8/22/2012

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: 3/17/2014

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/1/2012

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)

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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

Joanna W. Peters

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joanna Westhafer Peters's CRS (Customer Relationship Summary).

Certified licenses

Experience

CHARLES SCHWAB & CO., INC.

VANGUARD ADVISERS, INC.

VANGUARD MARKETING CORPORATION

FIDELITY PERSONAL AND WORKPLACE ADVISORS

FIDELITY BROKERAGE SERVICES LLC

VANGUARD ADVISERS, INC.

VANGUARD MARKETING CORPORATION

Primary Firm SEC Registration

SCHWAB WEALTH ADVISORY, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/22/2012

SIE

Date: 10/1/2018

Series 7

Date: 3/17/2014

Series 6

Date: 8/1/2012

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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