Phillip Battle

SCHWAB WEALTH ADVISORY

Atlanta, GA 30326

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CRD#: 7009719

Professional summary

Phillip Battle is a registered financial advisor currently at SCHWAB WEALTH ADVISORY, INC. located in Atlanta, Georgia and CHARLES SCHWAB & CO., INC. located in Atlanta, Georgia.

Phillip is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Phillip has worked at 7 firms and has passed the Series 66, SIE and Series 7TO 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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Phillip Battle'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

May 2, 2025 - Present

SCHWAB WEALTH ADVISORY, INC.

Office #1: 3424 Peachtree Road, Ne, Suite 1750, Atlanta, GA 30326

RIA

CRD#: 159035

Atlanta, GA

Current

May 2, 2025 - Present

CHARLES SCHWAB & CO., INC.

Office #1: 3424 Peachtree Road Ne Suite 1750, Atlanta, GA 30326

RIA

CRD#: 5393

Atlanta, GA

Past

March 31, 2025 - April 4, 2025

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

BOSTON, MA

Past

January 26, 2022 - March 31, 2025

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

DUNWOODY, GA

Past

January 19, 2022 - April 4, 2025

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

DUNWOODY, GA

Past

September 16, 2020 - December 16, 2021

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

ATLANTA, GA

Past

September 16, 2020 - December 16, 2021

J.P. MORGAN SECURITIES LLC

CRD#: 79

ATLANTA, GA

Past

December 11, 2018 - September 8, 2020

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

TUCKER, GA

Past

November 9, 2018 - September 8, 2020

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

TUCKER, GA

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
(5/6/2025)

Alaska
(5/6/2025)

Arizona
(5/6/2025)

Arkansas
(5/6/2025)

California
(5/6/2025)

Colorado
(5/6/2025)

Connecticut
(5/6/2025)

Delaware
(5/6/2025)

District of Columbia
(5/6/2025)

Florida
(5/6/2025)

Georgia
(5/2/2025)

IAR

Georgia
(5/5/2025)

Hawaii
(5/6/2025)

Idaho
(5/6/2025)

Illinois
(5/6/2025)

Indiana
(5/6/2025)

Iowa
(5/6/2025)

Kansas
(5/6/2025)

Kentucky
(5/6/2025)

Louisiana
(5/6/2025)

Maine
(5/6/2025)

Maryland
(5/6/2025)

Massachusetts
(5/6/2025)

Michigan
(5/6/2025)

Minnesota
(5/6/2025)

Mississippi
(5/6/2025)

Missouri
(5/6/2025)

Montana
(5/6/2025)

Nebraska
(5/6/2025)

Nevada
(5/6/2025)

New Hampshire
(5/6/2025)

New Jersey
(5/6/2025)

New Mexico
(5/6/2025)

New York
(5/6/2025)

North Carolina
(5/6/2025)

North Dakota
(5/6/2025)

Ohio
(5/6/2025)

Oklahoma
(5/6/2025)

Oregon
(5/6/2025)

Pennsylvania
(5/6/2025)

Puerto Rico
(5/6/2025)

Rhode Island
(5/6/2025)

South Carolina
(5/6/2025)

South Dakota
(5/6/2025)

Tennessee
(5/6/2025)

Texas
(5/2/2025)

IAR

Texas
(5/2/2025)

Utah
(5/6/2025)

Vermont
(5/6/2025)

Virgin Islands
(5/6/2025)

Virginia
(5/6/2025)

Washington
(5/6/2025)

West Virginia
(5/6/2025)

Wisconsin
(5/6/2025)

Wyoming
(5/6/2025)

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: 12/10/2018

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 11/9/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7TO

Date: 11/7/2018

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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Firm Stability Insights

Phillip Battle

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Phillip Battle's CRS (Customer Relationship Summary).

Certified licenses

Experience

CHARLES SCHWAB & CO., INC.

STRATEGIC ADVISERS LLC

FIDELITY PERSONAL AND WORKPLACE ADVISORS

FIDELITY BROKERAGE SERVICES LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

SCHWAB WEALTH ADVISORY, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 12/10/2018

SIE

Date: 11/9/2018

Series 7TO

Date: 11/7/2018

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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