JW
Joshua Woodring
SCHWAB WEALTH ADVISORY
Westlake, TX 76262-8104
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CRD#: 6864998
JW
Professional summary
Joshua Woodring, CFP® is a registered financial advisor currently at SCHWAB WEALTH ADVISORY, INC. located in Westlake, Texas and CHARLES SCHWAB & CO., INC. located in Westlake, Texas.
Joshua is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Joshua has worked at 3 firms and has passed the Series 66, Series 63, Series 34, Series 3, SIE and Series 7 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.
Name of Outside Business:True Vine Brewing; Investment Related:No; Address of Outside Business:Tyler, TX.; Nature of Outside Business:Other; Position:Passive Investor; Start Date:8/1/2014; Hours per month: 0-10; Hours per month during securities trading hours: No; Description of Duties: Completely passive. No Duties. Name: Land Development, Role: Land Developer, Type: Real Estate, Start Date: 12/20/2019, Investment Related?: No, Address: 1500 Southfork Dr, Keller, TX 76248, Number of Hours/Mo: 5, Duties: I intend to purchase acreage and then sell it off in smaller pieces for a profit. If I can't find cash buyers I will owner finance it.
CRS (Client Relationship Summary) - RIA
Click below to view Joshua Woodring'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
January 5, 2024 - Present
SCHWAB WEALTH ADVISORY, INC.
Office #1: 3000 Schwab Way, Westlake, TX 76262-8104RIA
CRD#: 159035
Westlake, TX
Current
January 24, 2023 - Present
CHARLES SCHWAB & CO., INC.
Office #1: 3000 Schwab Way, Westlake, TX 76262RIA
BD
CRD#: 5393
Westlake, TX
Past
October 4, 2022 - January 8, 2024
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
Southlake, TX
Past
February 8, 2022 - October 14, 2022
TD AMERITRADE, INC.
RIA
CRD#: 7870
Westlake, TX
Past
November 14, 2017 - January 25, 2024
TD AMERITRADE, INC.
BD
CRD#: 7870
Westlake, TX
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(1/24/2023)
RR
Alaska(1/24/2023)
RR
Arizona(1/24/2023)
RR
Arkansas(1/24/2023)
RR
California(1/24/2023)
IAR
California(1/5/2024)
RR
Colorado(1/24/2023)
RR
Connecticut(1/24/2023)
RR
Delaware(1/24/2023)
RR
District of Columbia(1/24/2023)
RR
Florida(1/24/2023)
RR
Georgia(1/24/2023)
RR
Hawaii(1/24/2023)
RR
Idaho(1/24/2023)
RR
Illinois(1/24/2023)
RR
Indiana(1/24/2023)
RR
Iowa(1/24/2023)
RR
Kansas(1/24/2023)
RR
Kentucky(1/24/2023)
RR
Louisiana(1/24/2023)
RR
Maine(1/24/2023)
RR
Maryland(1/24/2023)
RR
Massachusetts(1/25/2023)
RR
Michigan(1/24/2023)
RR
Minnesota(1/24/2023)
RR
Mississippi(1/24/2023)
RR
Missouri(1/24/2023)
RR
Montana(1/24/2023)
RR
Nebraska(1/27/2023)
RR
Nevada(1/4/2024)
RR
New Hampshire(1/24/2023)
RR
New Jersey(1/24/2023)
RR
New Mexico(1/24/2023)
RR
New York(1/24/2023)
RR
North Carolina(1/25/2024)
RR
North Dakota(1/24/2023)
RR
Ohio(1/25/2023)
RR
Oklahoma(1/24/2023)
RR
Oregon(1/25/2023)
RR
Pennsylvania(1/25/2023)
RR
Puerto Rico(1/24/2023)
RR
Rhode Island(1/24/2023)
RR
South Carolina(1/24/2023)
RR
South Dakota(1/24/2023)
RR
Tennessee(1/24/2023)
RR
Texas(1/24/2023)
IAR
Texas(1/5/2024)
RR
Utah(1/24/2023)
RR
Vermont(1/24/2023)
RR
Virgin Islands(1/24/2023)
RR
Virginia(1/25/2023)
RR
Washington(1/24/2023)
RR
West Virginia(2/13/2023)
RR
Wisconsin(1/24/2023)
RR
Wyoming(1/24/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
