AH
Alexandra A. Hauer
SCHWAB WEALTH ADVISORY
Westlake, TX 76262-8104
Some features on this profile are disabled
CRD#: 6523572
AH
Professional summary
Alexandra Ann Hauer, who also goes by Ali Hauer, is a registered financial advisor currently at SCHWAB WEALTH ADVISORY, INC. located in Westlake, Texas and CHARLES SCHWAB & CO., INC. located in Westlake, Texas.
Alexandra is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Alexandra has worked at 3 firms and has passed the Series 66, Series 52TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ali Hauer
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.
CRS (Client Relationship Summary) - RIA
Click below to view Alexandra Ann Hauer's 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®
NoneExperience
Current
September 30, 2021 - Present
SCHWAB WEALTH ADVISORY, INC.
Office #1: 3000 Schwab Way, Westlake, TX 76262-8104RIA
CRD#: 159035
Westlake, TX
Current
September 30, 2021 - Present
CHARLES SCHWAB & CO., INC.
Office #1: 3000 Schwab Way, Westlake, TX 76262RIA
BD
CRD#: 5393
Westlake, TX
Past
September 11, 2018 - August 26, 2021
EDWARD JONES
RIA
CRD#: 250
TEMPE, AZ
Past
August 7, 2018 - August 26, 2021
EDWARD JONES
BD
CRD#: 250
TEMPE, AZ
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
Alabama(9/30/2021)
RR
Alaska(9/30/2021)
RR
Arizona(9/30/2021)
RR
Arkansas(9/30/2021)
RR
California(9/30/2021)
RR
Colorado(9/30/2021)
IAR
Colorado(9/30/2021)
RR
Connecticut(9/30/2021)
RR
Delaware(9/30/2021)
RR
District of Columbia(9/30/2021)
RR
Florida(9/30/2021)
RR
Georgia(9/30/2021)
RR
Hawaii(9/30/2021)
RR
Idaho(9/30/2021)
RR
Illinois(9/30/2021)
RR
Indiana(9/30/2021)
RR
Iowa(9/30/2021)
RR
Kansas(9/30/2021)
RR
Kentucky(9/30/2021)
RR
Louisiana(9/30/2021)
RR
Maine(9/30/2021)
RR
Maryland(9/30/2021)
RR
Massachusetts(9/30/2021)
RR
Michigan(9/30/2021)
RR
Minnesota(9/30/2021)
RR
Mississippi(9/30/2021)
RR
Missouri(9/30/2021)
RR
Montana(9/30/2021)
RR
Nebraska(9/30/2021)
RR
Nevada(9/30/2021)
RR
New Hampshire(9/30/2021)
RR
New Jersey(9/30/2021)
RR
New Mexico(9/30/2021)
RR
New York(9/30/2021)
RR
North Carolina(9/30/2021)
RR
North Dakota(9/30/2021)
RR
Ohio(10/2/2021)
RR
Oklahoma(9/30/2021)
RR
Oregon(9/30/2021)
RR
Pennsylvania(9/30/2021)
RR
Rhode Island(9/30/2021)
RR
South Carolina(9/30/2021)
RR
South Dakota(9/30/2021)
RR
Tennessee(9/30/2021)
RR
Texas(9/30/2021)
IAR
Texas(1/4/2022)
RR
Utah(9/30/2021)
RR
Vermont(9/30/2021)
RR
Virgin Islands(9/30/2021)
RR
Virginia(9/30/2021)
RR
Washington(9/30/2021)
RR
West Virginia(9/30/2021)
RR
Wisconsin(9/30/2021)
RR
Wyoming(9/30/2021)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/16/2019
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
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
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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)
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.
