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SF

Shaun M. Flegal

SCHWAB WEALTH ADVISORY
New York City, NY 10010
Some features on this profile are disabled
CRD#: 5947584
SF

Professional summary

Shaun Michael Flegal, who also goes by Shaun M Flegal, is a registered financial advisor currently at SCHWAB WEALTH ADVISORY, INC. located in New York City, New York and CHARLES SCHWAB & CO., INC. located in New York City, New York.

Shaun is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Shaun has worked at 5 firms and has passed the Series 65, Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Shaun M Flegal

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 Shaun Michael Flegal'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

February 26, 2026 - Present

SCHWAB WEALTH ADVISORY, INC.

Office #1: 915 Broadway Ground Floor, New York City, NY 10010
RIA
CRD#: 159035
New York City, NY
Current

February 26, 2026 - Present

CHARLES SCHWAB & CO., INC.

Office #1: 915 Broadway Ground Floor, New York City, NY 10010
RIA
BD
CRD#: 5393
New York City, NY
Past

November 28, 2016 - February 12, 2026

MORGAN STANLEY

RIA
CRD#: 149777
NEW YORK, NY
Past

August 11, 2016 - February 12, 2026

MORGAN STANLEY

BD
CRD#: 149777
PURCHASE, NY
Past

April 16, 2014 - July 19, 2016

VANGUARD MARKETING CORPORATION

BD
CRD#: 7452
MALVERN, PA
Past

October 12, 2012 - April 10, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
PENNINGTON, NJ
Past

August 29, 2012 - April 10, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
PENNINGTON, NJ

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

RR
Connecticut
(2/26/2026)
RR
Florida
(2/26/2026)
RR
Michigan
(2/26/2026)
RR
New Jersey
(2/26/2026)
RR
New York
(2/26/2026)
IAR
New York
(2/26/2026)
RR
Ohio
(2/26/2026)
RR
Pennsylvania
(2/26/2026)

Exams

State Security Law Exam
IAR
Series 65
Date: 1/18/2017
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 10/11/2012
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/27/2012
General Securities 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)
PREMIUM
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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#: 159035New York City, NY 10010

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