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Andrew J Battles

Schwab Wealth Advisory, Inc.

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About Andrew J Battles

Andrew Battles is a financial advisor with over 20 years of experience in the industry. Andrew is currently registered with Schwab Wealth Advisory, Inc. and has been with the firm since January 2012. Previously, Andrew was a registered representative with Simmers Capital Management Corporation. Andrew holds Series 6, 7, 63, and 66 securities licenses, as well as the SIE exam. Andrew specializes in providing financial planning, portfolio management for individuals and businesses. Andrew is also a landlord in Phoenix, Arizona, managing less than 20 properties.

Firm Information

Andrew Battles 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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Andrew Battles’s Registration & Firm History

AZ

01/11/2021 - Present

Schwab Wealth Advisory, Inc. (PHOENIX AZ)

AZ

01/21/1998 - 06/09/1998

SIMMERS CAPITAL MANAGEMENT CORPORATION (PHOENIX AZ)

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Licenses & Designations

BOTH

Issued 10/23/2006

Series 66 - Uniform Combined State Law Examination

BC

Issued 08/16/2000

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/27/2000

Series 7 - General Securities Representative Examination

BC

Issued 01/06/1998

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are 4 public disclosures for Andrew J Battles. Review regulatory record here.
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