NS
Nikolaos Stathopoulos
SCHWAB WEALTH ADVISORY
Phoenix, AZ 85016-1215
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CRD#: 6714873
NS
Professional summary
Nikolaos Stathopoulos, CFP®, who also goes by Nick Stathopoulos, Nikolas Stathopoulos, is a registered financial advisor currently at SCHWAB WEALTH ADVISORY, INC. located in Phoenix, Arizona and CHARLES SCHWAB & CO., INC. located in Phoenix, Arizona.
Nikolaos is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Nikolaos has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nick Stathopoulos | Nikolas Stathopoulos
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.
EMPLOYEE OF THE VANGUARD GROUP, INC. (PARENT COMPANY OF VANGUARD MARKETING CORPORATION) 100 VANGUARD BLVD, MALVERN, PA 19355 NAME OF BUSINESS: Self Employed; NON-INVESTMENT RELATED; ADDRESS: Phoenix, AZ; NATURE OF BUSINESS: Ride Sharing; POSITION: Contracted Driver for Uber; START DATE:04/2016 APPROXIMATE HOURS PER MONTH: Anywhere from 0-20hrs/week NUMBER OF HOURS DURING TRADING HOURS:0 DUTIES: Helping people get to their destination. NAME OF BUSINESS: Self Employed; NON-INVESTMENT RELATED; ADDRESS: Phoenix, AZ; NATURE OF BUSINESS: Ride Sharing; POSITION: Contracted Driver for Lyft START DATE:04/2016 APPROXIMATE HOURS PER MONTH: Anywhere from 0-20hrs/week NUMBER OF HOURS DURING TRADING HOURS:0 DUTIES: Helping people get to their destination.
CRS (Client Relationship Summary) - RIA
Click below to view Nikolaos Stathopoulos'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®
Experience
Current
August 22, 2022 - Present
SCHWAB WEALTH ADVISORY, INC.
Office #1: 2423 E Lincoln Dr, Phoenix, AZ 85016-1215RIA
CRD#: 159035
Phoenix, AZ
Current
August 17, 2022 - Present
CHARLES SCHWAB & CO., INC.
Office #1: 2423 E Lincoln Dr, Phoenix, AZ 85016-1215RIA
BD
CRD#: 5393
Phoenix, AZ
Past
September 16, 2019 - August 16, 2022
VANGUARD ADVISERS, INC.
RIA
CRD#: 106715
Scottsdale, AZ
Past
July 19, 2017 - August 16, 2022
VANGUARD MARKETING CORPORATION
BD
CRD#: 7452
SCOTTSDALE, 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(9/28/2024)
RR
Alaska(8/17/2022)
RR
Arizona(8/17/2022)
IAR
Arizona(8/31/2022)
RR
Arkansas(9/28/2024)
RR
California(8/17/2022)
RR
Colorado(9/28/2024)
RR
Connecticut(9/28/2024)
RR
Delaware(9/28/2024)
RR
District of Columbia(9/28/2024)
RR
Florida(8/17/2022)
RR
Georgia(8/17/2022)
RR
Hawaii(9/28/2024)
RR
Idaho(8/17/2022)
RR
Illinois(8/17/2022)
RR
Indiana(9/28/2024)
RR
Iowa(9/28/2024)
RR
Kansas(9/28/2024)
RR
Kentucky(8/17/2022)
RR
Louisiana(9/28/2024)
RR
Maine(9/28/2024)
RR
Maryland(9/28/2024)
RR
Massachusetts(9/28/2024)
RR
Michigan(9/28/2024)
RR
Minnesota(8/17/2022)
RR
Mississippi(9/28/2024)
RR
Missouri(9/28/2024)
RR
Montana(9/28/2024)
RR
Nebraska(9/28/2024)
RR
Nevada(9/28/2024)
RR
New Hampshire(9/28/2024)
RR
New Jersey(9/28/2024)
RR
New Mexico(8/17/2022)
RR
New York(8/17/2022)
RR
North Carolina(9/28/2024)
RR
North Dakota(9/28/2024)
RR
Ohio(8/18/2022)
RR
Oklahoma(9/28/2024)
RR
Oregon(8/17/2022)
RR
Pennsylvania(9/28/2024)
RR
Puerto Rico(9/28/2024)
RR
Rhode Island(9/28/2024)
RR
South Carolina(9/28/2024)
RR
South Dakota(8/17/2022)
RR
Tennessee(8/17/2022)
RR
Texas(8/17/2022)
IAR
Texas(8/22/2022)
RR
Utah(8/17/2022)
RR
Vermont(9/28/2024)
RR
Virgin Islands(9/28/2024)
RR
Virginia(9/28/2024)
RR
Washington(8/17/2022)
RR
West Virginia(9/28/2024)
RR
Wisconsin(9/28/2024)
RR
Wyoming(8/17/2022)
Exams
State Security Law Exam
State Security Law Exam
General 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.
