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Leslie Ann Morgan

Schwab Wealth Advisory, Inc.

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About Leslie Ann Morgan

Leslie Ann Morgan is a financial advisor with Schwab Wealth Advisory, Inc. Leslie has been in the financial services industry for over 20 years and holds Series 6, 7, 10, 63 and 65 licenses. Leslie is a highly experienced and knowledgeable financial advisor who can help individuals and families achieve their financial goals.

Firm Information

Leslie Morgan 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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Leslie Morgan’s Registration & Firm History

CO

09/10/2021 - Present

Schwab Wealth Advisory, Inc. (Lone Tree CO)

CO

05/03/2005 - 11/13/2020

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (DENVER CO)

TX

01/13/2004 - 04/01/2005

VALIC FINANCIAL ADVISORS, INC. (HOUSTON TX)

MO

10/31/2000 - 01/30/2004

AMERICAN CENTURY INVESTMENT SERVICES INC. (KANSAS CITY MO)

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Licenses & Designations

IA

Issued 09/19/2011

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 12/08/2000

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 09/04/2024

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 07/15/2024

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/09/2007

Series 7 - General Securities Representative Examination

BC

Issued 10/30/2000

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Leslie Ann Morgan.
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