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Aaron Lee Phelps

Schwab Wealth Advisory, Inc.

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About Aaron Lee Phelps

Aaron Lee Phelps is a financial advisor with Schwab Wealth Advisory, Inc. Aaron has been in the financial services industry since 2000. Aaron is licensed to provide investment advice in 28 states and has experience working with Schwab Wealth Advisory, Inc., AMSOUTH INVESTMENT SERVICES, INC., CHARLES SCHWAB & CO., INC., and PAINEWEBBER INCORPORATED. Aaron holds Series 63, 65, 66, 7, 9, 10, 31 and SIE licenses.

Firm Information

Aaron Phelps is currently registered with Schwab Wealth Advisory, Inc.. Schwab Wealth Advisory, Inc. is an investment advisory firm based in SAN FRANCISCO, CA, United States. The firm provides financial planning and portfolio management services to individuals, businesses, and high-net-worth individuals. They also offer a wrap fee program.
Schwab Wealth Advisory, Inc.

211 MAIN STREET

SAN FRANCISCO, CA 94105-1901

Not reported

Assets Under Management

141,801

Total Clients

904

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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other

Swa program paid by wrap sponsor pursuant to cost plan formula.

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Aaron Phelps’s Registration & Firm History

FL

01/02/2020 - Present

Schwab Wealth Advisory, Inc. (ORLANDO FL)

AL

09/14/2004 - 05/13/2005

AMSOUTH INVESTMENT SERVICES, INC. (BIRMINGHAM AL)

TX

08/11/2000 - 07/16/2004

CHARLES SCHWAB & CO., INC. (WESTLAKE TX)

NJ

05/25/1999 - 06/22/2000

PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)

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Licenses & Designations

BOTH

Issued 12/10/2007

Series 66 - Uniform Combined State Law Examination

IA

Issued 04/07/2005

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 05/28/1999

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 05/21/2002

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 04/15/2002

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/11/1999

Series 31 - Futures Managed Funds Examination

BC

Issued 05/24/1999

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are 2 public disclosures for Aaron Lee Phelps. Review regulatory record here.
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