Aubrey J. Socha

SCHWAB WEALTH ADVISORY

Westlake, TX 76262-8104

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CRD#: 6251582

Professional summary

Aubrey Jean Socha, CFP®, who also goes by Aubrey Socha, Aubrey Jean Wood, Aubrey Wood, is a registered financial advisor currently at SCHWAB WEALTH ADVISORY, INC. located in Westlake, Texas and CHARLES SCHWAB & CO., INC. located in Westlake, Texas.

Aubrey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Aubrey has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Aubrey Socha | Aubrey Jean Wood | Aubrey Wood

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.

1.) Capital Advisors, Inc.; Frisco, TX; Investment Related; Started 10/07/2019; Financial Planning; Financial Planner, RIA provide financial planning services to clients; 160 hours per month with 160 hours during securities trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Aubrey Jean Socha'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

Start date: 2018

Experience

Current

July 30, 2024 - Present

SCHWAB WEALTH ADVISORY, INC.

Office #1: 3000 Schwab Way, Westlake, TX 76262-8104

RIA

CRD#: 159035

Westlake, TX

Current

July 30, 2024 - Present

CHARLES SCHWAB & CO., INC.

Office #1: 3000 Schwab Way, Westlake, TX 76262-8104

RIA

CRD#: 5393

Westlake, TX

Past

January 6, 2020 - October 31, 2022

QUASAR DISTRIBUTORS, LLC

CRD#: 103848

Frisco, TX

Past

November 7, 2019 - July 23, 2024

CAPITAL ADVISORS, INC.

RIA

CRD#: 104643

Frisco, TX

Past

July 13, 2018 - October 15, 2019

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

BOSTON, MA

Past

January 20, 2017 - July 13, 2018

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

BROOMFIELD, CO

Past

January 13, 2017 - October 14, 2019

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

BROOMFIELD, CO

Past

July 2, 2015 - November 15, 2016

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

COLORADO SPRINGS, CO

Past

March 3, 2014 - November 11, 2016

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

COLORADO SPRINGS, CO

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

Arkansas
(9/12/2024)

California
(1/21/2025)

Georgia
(1/16/2025)

Mississippi
(9/10/2024)

New Jersey
(9/27/2025)

New York
(9/28/2025)

Tennessee
(9/11/2024)

IAR

Texas
(7/30/2024)

Texas
(7/31/2024)

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

IAR

Series 66

Date: 3/31/2015

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/21/2014

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: 3/3/2014

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 3/21/2016

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 12/14/2015

General Securities Sales Supervisor - Options Module 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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Aubrey J. Socha

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Aubrey Jean Socha's CRS (Customer Relationship Summary).

Certified licenses

Experience

CHARLES SCHWAB & CO., INC.

QUASAR DISTRIBUTORS, LLC

CAPITAL ADVISORS, INC.

FIDELITY PERSONAL AND WORKPLACE ADVISORS

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

Primary Firm SEC Registration

SCHWAB WEALTH ADVISORY, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 3/31/2015

Series 63

Date: 4/21/2014

SIE

Date: 10/1/2018

Series 7

Date: 3/3/2014

Series 10

Date: 3/21/2016

Series 9

Date: 12/14/2015

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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