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Gweneth A. Montgomery

Some features on this profile are disabled
CRD#: 5994178
GM

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.

Gweneth Anne Montgomery, who also goes by Gwen Montgomery, was a registered financial professional .

Gweneth is a previously registered financial professional and started their career in finance in 2012. Gweneth had worked at 3 firms and has passed the Series 66, Series 63, Series 3, SIE, Series 7, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Gwen Montgomery

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

December 16, 2021 - July 29, 2024

SCHWAB WEALTH ADVISORY, INC.

RIA
CRD#: 159035
Carmel, IN
Past

July 19, 2021 - December 12, 2022

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
Carmel, IN
Past

July 19, 2021 - July 29, 2024

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
Indianapolis, IN
Past

March 21, 2017 - June 10, 2021

MORGAN STANLEY

RIA
CRD#: 149777
INDIANAPOLIS, IN
Past

March 21, 2017 - June 10, 2021

MORGAN STANLEY

BD
CRD#: 149777
INDIANAPOLIS, IN
Past

April 27, 2015 - March 7, 2017

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
CARMEL, IN
Past

May 16, 2012 - March 7, 2017

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
CARMEL, IN

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
RR
IAR
Series 66
Date: 4/25/2015
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 5/18/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 8/24/2020
National Commodity Futures Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/15/2012
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 12/17/2014
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 10/28/2014
General Securities Sales Supervisor - Options Module 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
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)

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 (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.

Company Information

SCHWAB WEALTH ADVISORY, INC.

CRD#: 159035

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