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LF

Lauren E. Fonseca

SCHWAB WEALTH ADVISORY
Orlando, FL 32810
Some features on this profile are disabled
CRD#: 6403731
LF

Professional summary

Lauren Elaine Fonseca, CFP®, who also goes by Lauren Elaine Forsyth, is a registered financial advisor currently at SCHWAB WEALTH ADVISORY, INC. located in Orlando, Florida and CHARLES SCHWAB & CO., INC. located in Orlando, Florida.

Lauren is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Lauren has worked at 2 firms and has passed the Series 66, SIE, Series 7, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Lauren Elaine Forsyth

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) NONE | Investment Related:No|1880 VIBURNUM LANE|WINTER PARK|FL|32792|USA|Legal Services|ATTORNEY|3/18/2019|Less than 20|0|LICENSED TO PRACTICE LAW IN STATE OF FLORIDA, ATTORNEY SERVICES, PRO BONO, 2) Twisted Palm LLC | Investment Related:No|Restaurant/Food Services|Registered Agent|6/1/2025|Less than 20|0|Receive legal documents and official communications on behalf of the company, serving as a point of contact for legal matters., 3) Back of the House Creations LLC | Investment Related:No|Restaurant/Food Services|Member and Registered Agent|6/1/2025|Less than 20|0|Member/beneficial owner with no management responsibilities other than acting as registered agent to receive legal documents and official communications on behalf of the company, serving as a point of contact for legal matters.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lauren Elaine Fonseca'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

January 3, 2023 - Present

SCHWAB WEALTH ADVISORY, INC.

Office #1: 1991 Summit Park Drive, Orlando, FL 32810
RIA
CRD#: 159035
Orlando, FL
Current

August 7, 2015 - Present

CHARLES SCHWAB & CO., INC.

Office #1: 1991 Summit Park Drive, Orlando, FL 32810
RIA
BD
CRD#: 5393
Orlando, FL
Past

June 7, 2022 - February 15, 2023

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
Orlando, FL
Past

February 8, 2019 - October 27, 2022

SCHWAB WEALTH ADVISORY, INC.

RIA
CRD#: 159035
Orlando, FL
Past

August 30, 2016 - February 14, 2019

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
Orlando, FL

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
Florida
(1/4/2016)
IAR
Florida
(2/15/2023)
RR
Texas
(2/27/2019)
IAR
Texas
(1/3/2023)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/22/2016
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: 8/7/2015
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 2/7/2017
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 2/3/2017
General Securities Sales Supervisor - Options Module 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
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#: 159035Orlando, FL 32810

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