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Nicole Hargrove

SCHWAB WEALTH ADVISORY
Westlake, TX 76262-8104
Some features on this profile are disabled
CRD#: 5790838
NH

Professional summary

Nicole Hargrove, who also goes by Nicole Rene Hargrove, Nicole Hargrove, Nicole Rene Hurley, is a registered financial advisor currently at SCHWAB WEALTH ADVISORY, INC. located in Westlake, Texas and CHARLES SCHWAB & CO., INC. located in Westlake, Texas.

Nicole is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Nicole has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Nicole Rene Hargrove | Nicole Hargrove | Nicole Rene Hurley

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) - RIA

Click below to view Nicole Hargrove'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

March 3, 2026 - Present

SCHWAB WEALTH ADVISORY, INC.

Office #1: 3000 Schwab Way, Westlake, TX 76262-8104
RIA
CRD#: 159035
Westlake, TX
Current

March 5, 2026 - Present

CHARLES SCHWAB & CO., INC.

Office #1: 3000 Schwab Way, Westlake, TX 76262
RIA
BD
CRD#: 5393
Westlake, TX
Past

October 17, 2022 - September 7, 2023

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 111514
Tulsa, OK
Past

October 17, 2022 - July 29, 2024

TD AMERITRADE, INC.

BD
CRD#: 7870
Tulsa, OK
Past

December 9, 2021 - April 9, 2025

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
Tulsa, OK
Past

December 9, 2021 - April 9, 2025

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
Tulsa, OK
Past

February 18, 2019 - November 4, 2021

BOK FINANCIAL SECURITIES, INC.

BD
CRD#: 17530
Tulsa, OK
Past

February 13, 2019 - November 4, 2021

BOK FINANCIAL SECURITIES, INC.

RIA
CRD#: 17530
Tulsa, OK
Past

March 10, 2017 - August 30, 2017

SCOTTRADE INVESTMENT MANAGEMENT

RIA
CRD#: 169988
SAINT LOUIS, MO
Past

February 24, 2012 - August 30, 2017

SCOTTRADE, INC.

BD
CRD#: 8206
TULSA, OK
Past

July 27, 2010 - October 8, 2010

FIRST COMMAND BROKERAGE SERVICES, INC.

BD
CRD#: 3641
RICHMOND HILL, GA

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

IAR
Texas
(3/3/2026)
RR
Texas
(3/5/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/10/2017
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 4/25/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 8/30/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/23/2012
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 7/26/2010
Investment Company Products/Variable Contracts Representative Examination
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
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#: 159035Westlake, TX 76262-8104

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