TT
Thomas A. Travaglini
SCHWAB WEALTH ADVISORY
Phoenix, AZ 85044
Some features on this profile are disabled
CRD#: 7115909
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Professional summary
Thomas A Travaglini, who also goes by Ty Anthony Travaglini, Ty Travaglini, is a registered financial advisor currently at SCHWAB WEALTH ADVISORY, INC. located in Phoenix, Arizona and CHARLES SCHWAB & CO., INC. located in Phoenix, Arizona.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Thomas has worked at 2 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ty Anthony Travaglini | Ty Travaglini
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.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas A Travaglini'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
October 13, 2022 - Present
SCHWAB WEALTH ADVISORY, INC.
Office #1: 8040 South 48th Street, Phoenix, AZ 85044RIA
CRD#: 159035
Phoenix, AZ
Current
September 21, 2019 - Present
CHARLES SCHWAB & CO., INC.
Office #1: 8040 South 48th Street, Phoenix, AZ 85044RIA
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
Alabama(6/19/2020)
RR
Alaska(6/19/2020)
RR
Arizona(10/21/2019)
IAR
Arizona(10/13/2022)
RR
Arkansas(6/19/2020)
RR
California(10/26/2019)
RR
Colorado(1/4/2020)
RR
Connecticut(6/19/2020)
RR
Delaware(6/19/2020)
RR
District of Columbia(6/19/2020)
RR
Florida(1/4/2020)
RR
Georgia(1/4/2020)
RR
Hawaii(1/4/2020)
RR
Idaho(6/19/2020)
RR
Illinois(1/4/2020)
RR
Indiana(1/4/2020)
RR
Iowa(6/19/2020)
RR
Kansas(6/19/2020)
RR
Kentucky(6/19/2020)
RR
Louisiana(6/19/2020)
RR
Maine(6/19/2020)
RR
Maryland(1/4/2020)
RR
Massachusetts(1/4/2020)
RR
Michigan(1/4/2020)
RR
Minnesota(1/4/2020)
RR
Mississippi(6/19/2020)
RR
Missouri(6/19/2020)
RR
Montana(6/19/2020)
RR
Nebraska(6/19/2020)
RR
Nevada(6/19/2020)
RR
New Hampshire(6/19/2020)
RR
New Jersey(1/4/2020)
RR
New Mexico(6/19/2020)
RR
New York(1/4/2020)
RR
North Carolina(6/19/2020)
RR
North Dakota(6/19/2020)
RR
Ohio(1/6/2020)
RR
Oklahoma(1/4/2020)
RR
Oregon(1/4/2020)
RR
Pennsylvania(6/19/2020)
RR
Puerto Rico(6/21/2023)
RR
Rhode Island(6/19/2020)
RR
South Carolina(6/19/2020)
RR
South Dakota(6/19/2020)
RR
Tennessee(6/19/2020)
RR
Texas(1/4/2020)
IAR
Texas(1/3/2023)
RR
Utah(6/19/2020)
RR
Vermont(6/19/2020)
RR
Virginia(1/4/2020)
RR
Washington(1/4/2020)
RR
West Virginia(6/19/2020)
RR
Wisconsin(6/19/2020)
RR
Wyoming(6/19/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 9/20/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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
9800 Schwab Way, Lone Tree, CO 80124
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
