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LM

Lee Marcotte

SCHWAB WEALTH ADVISORY
Walnut Creek, CA
Some features on this profile are disabled
CRD#: 7043645
LM

Professional summary

Lee Marcotte is a registered financial advisor currently at SCHWAB WEALTH ADVISORY, INC. located in Walnut Creek, California and CHARLES SCHWAB & CO., INC. located in Lone Tree, Colorado.

Lee is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Lee has worked at 2 firms and has passed the Series 66, Series 63, Series 7TO and SIE exams.

top-8-questions

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lee Marcotte'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

August 11, 2025 - Present

SCHWAB WEALTH ADVISORY, INC.

RIA
CRD#: 159035
Walnut Creek, CA
Current

February 24, 2021 - Present

CHARLES SCHWAB & CO., INC.

Office #1: 9800 Schwab Way, Lone Tree, CO 80124
RIA
BD
CRD#: 5393
Lone Tree, CO
Past

June 14, 2021 - August 11, 2025

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
San Francisco, CA
Past

August 22, 2019 - October 21, 2020

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
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".
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
Arizona
(2/25/2021)
RR
California
(2/25/2021)
IAR
California
(8/11/2025)
RR
Colorado
(3/1/2021)
RR
Hawaii
(2/26/2021)
RR
Louisiana
(2/26/2021)
RR
Maryland
(2/25/2021)
RR
Minnesota
(3/15/2021)
RR
New Jersey
(2/26/2021)
RR
New York
(2/27/2021)
RR
Tennessee
(2/26/2021)
RR
Texas
(2/25/2021)
RR
Virginia
(3/1/2021)
RR
Washington
(2/26/2021)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/11/2021
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 7/11/2019
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 6/29/2019
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 4/13/2019
Securities Industry Essentials Examination
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
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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.

Company Information

SCHWAB WEALTH ADVISORY, INC.

CRD#: 159035Walnut Creek, CA

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