RS
Richard P. Schwab
THEPARTNERS WEALTH MANAGEMENT
TEMPE, AZ
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CRD#: 6758287
RS
Professional summary
Richard Paul Schwab is a registered financial advisor currently at THEPARTNERS WEALTH MANAGEMENT located in Tempe, Arizona.
Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2017. Richard has worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
Sales of insurance and non-insurance products, part-time or full-time, for companies affiliated with Universal Wealth THE CLEVELAND ELECTRIC LABORATORIES CO., INC./Investment Related - No/361 S 52nd st, Tempe AZ 85281, (480)397-0024/Temperature Sensors and Turbine Engine Instrumentation/Sales Engineer/08.2014/170/170/Customer Relations, Quoting Jobs, Sales
CRS (Client Relationship Summary) - RIA
Click below to view Richard Paul Schwab'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
May 2, 2025 - Present
THEPARTNERS WEALTH MANAGEMENT
RIA
CRD#: 314816
TEMPE, AZ
Past
October 5, 2017 - January 23, 2025
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
PHOENIX, AZ
Past
May 25, 2017 - January 23, 2025
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
PHOENIX, 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".
TW
THEPARTNERS WEALTH MANAGEMENT
ADAPTIVE WEALTH MANAGEMENT | WORTH FINANCIAL SOLUTIONS | WILKINS WEALTH MANAGEMENT | TW SMITH PLANNING AND INVESTMENTS | TRIVELLONI ASSET MANAGEMENT | THEPARTNERS WEALTH MANAGEMENT | THEPARTNERS RETIREMENT AND BUSINESS SOLUTIONS | SUMMA CAPITAL MANAGEMENT | PREISS FINANCIAL LLC | PARTNERS WEALTH MANAGEMENT, LLC | OCEAN POINTE FINANCIAL SERVICES GROUP, LLC | KLYMAN FINANCIAL | COACTIVE WEALTH STRATEGISTS | CENTRAL COAST FINANCIAL MANAGEMENT, INC. | BIANCO WEALTH MANAGEMENT | ASH CREEK FINANCIAL ADVISORS
CRD#: 314816 / SEC#: 801-122637
RIA
Registered Investment Advisory firm - (11/8/2021 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.Highlighted states indicate IAR registrations
IAR
Arizona(5/2/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
TW
THEPARTNERS WEALTH MANAGEMENT
ADAPTIVE WEALTH MANAGEMENT | WORTH FINANCIAL SOLUTIONS | WILKINS WEALTH MANAGEMENT | TW SMITH PLANNING AND INVESTMENTS | TRIVELLONI ASSET MANAGEMENT | THEPARTNERS WEALTH MANAGEMENT | THEPARTNERS RETIREMENT AND BUSINESS SOLUTIONS | SUMMA CAPITAL MANAGEMENT | PREISS FINANCIAL LLC | PARTNERS WEALTH MANAGEMENT, LLC | OCEAN POINTE FINANCIAL SERVICES GROUP, LLC | KLYMAN FINANCIAL | COACTIVE WEALTH STRATEGISTS | CENTRAL COAST FINANCIAL MANAGEMENT, INC. | BIANCO WEALTH MANAGEMENT | ASH CREEK FINANCIAL ADVISORS
CRD#: 314816 / SEC#: 801-122637
RIA
Registered Investment Advisory firm - (11/8/2021 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
Nw Corner Ocean Avenue And Mission Street Second Level, Carmel By The Sea, CA 93921
Mailing Address
26 Miramonte Rd, Carmel Valley, CA 93924
Phone number
(800) 324-3010
Established
Firm type
Fiscal year end
# of Employees
35
SEC notice filing (23 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,304 |
| AUM (Assets Under Management) | $ 454,537,144 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
