Adam B. Klopfenstein

SCHWAB WEALTH ADVISORY

Orlando, FL 32810

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CRD#: 6515168

Professional summary

Adam Beckett Klopfenstein, who also goes by Adam Beckett Klopfenstein, is a registered financial advisor currently at SCHWAB WEALTH ADVISORY, INC. located in Orlando, Florida and CHARLES SCHWAB & CO., INC. located in Orlando, Florida.

Adam is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Adam has worked at 8 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Adam Beckett Klopfenstein

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 Adam Beckett Klopfenstein'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

October 5, 2022 - Present

SCHWAB WEALTH ADVISORY, INC.

Office #1: 1991 Summit Park Drive, Orlando, FL 32810

RIA

CRD#: 159035

Orlando, FL

Current

October 5, 2022 - Present

CHARLES SCHWAB & CO., INC.

Office #1: 1991 Summit Park Drive, Orlando, FL 32810

RIA

CRD#: 5393

Orlando, FL

Past

July 18, 2019 - November 20, 2020

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

CHICAGO, IL

Past

April 5, 2019 - November 19, 2020

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

CHICAGO, IL

Past

March 10, 2016 - December 13, 2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

NORRIDGE, IL

Past

March 10, 2016 - December 13, 2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NORRIDGE, IL

Past

November 4, 2015 - November 19, 2015

TD AMERITRADE, INC.

RIA

CRD#: 7870

CHICAGO, IL

Past

November 4, 2015 - November 19, 2015

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

Chicago, IL

Past

November 3, 2015 - November 19, 2015

TD AMERITRADE, INC.

CRD#: 7870

CHICAGO, IL

Past

July 15, 2015 - August 26, 2015

CETERA FINANCIAL SPECIALISTS LLC

CRD#: 10358

SCHAUMBURG, IL

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

Alabama
(10/5/2022)

Alaska
(10/5/2022)

Arizona
(10/5/2022)

Arkansas
(10/5/2022)

California
(10/5/2022)

Colorado
(10/5/2022)

Connecticut
(10/5/2022)

Delaware
(10/5/2022)

District of Columbia
(10/5/2022)

Florida
(10/5/2022)

IAR

Florida
(5/24/2023)

Georgia
(10/5/2022)

Hawaii
(10/5/2022)

Idaho
(10/5/2022)

Illinois
(10/26/2022)

Indiana
(10/5/2022)

Iowa
(10/5/2022)

Kansas
(10/5/2022)

Kentucky
(10/5/2022)

Louisiana
(10/5/2022)

Maine
(10/5/2022)

Maryland
(10/5/2022)

Massachusetts
(10/5/2022)

Michigan
(10/5/2022)

Minnesota
(10/5/2022)

Mississippi
(10/5/2022)

Missouri
(10/5/2022)

Montana
(10/5/2022)

Nebraska
(10/5/2022)

Nevada
(10/5/2022)

New Hampshire
(10/5/2022)

New Jersey
(10/5/2022)

New Mexico
(10/5/2022)

New York
(10/5/2022)

North Carolina
(10/5/2022)

North Dakota
(10/5/2022)

Ohio
(10/6/2022)

Oklahoma
(10/5/2022)

Oregon
(10/5/2022)

Pennsylvania
(10/5/2022)

Puerto Rico
(10/5/2022)

Rhode Island
(10/5/2022)

South Carolina
(10/5/2022)

South Dakota
(10/5/2022)

Tennessee
(10/5/2022)

Texas
(10/5/2022)

IAR

Texas
(10/5/2022)

Utah
(10/5/2022)

Vermont
(10/5/2022)

Virgin Islands
(10/5/2022)

Virginia
(10/5/2022)

Washington
(10/5/2022)

West Virginia
(10/5/2022)

Wisconsin
(10/5/2022)

Wyoming
(10/5/2022)

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: 8/25/2015

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 3/13/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/6/2015

General Securities Representative 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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Advisor Monitoring

Firm Stability Insights

Adam B. Klopfenstein

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Adam Beckett Klopfenstein's CRS (Customer Relationship Summary).

Certified licenses

Experience

CHARLES SCHWAB & CO., INC.

FIDELITY PERSONAL AND WORKPLACE ADVISORS

FIDELITY BROKERAGE SERVICES LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

CETERA FINANCIAL SPECIALISTS LLC

Primary Firm SEC Registration

SCHWAB WEALTH ADVISORY, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 8/25/2015

Series 7TO

Date: 3/13/2022

SIE

Date: 10/1/2018

Series 7

Date: 7/6/2015

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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