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Roy Edward Plumlee

Schwab Wealth Advisory, Inc.

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About Roy Edward Plumlee

Roy Edward Plumlee has been in the financial services industry since 1995. Roy is currently registered with Schwab Wealth Advisory, Inc. Prior to his current role, Roy was registered with USAA FINANCIAL ADVISORS, INC. and CHARLES SCHWAB & CO., INC. Roy is registered with the State of Texas. Roy is also a Certified Financial Planner.

Firm Information

Roy Plumlee 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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Roy Plumlee’s Registration & Firm History

TX

08/03/2021 - Present

Schwab Wealth Advisory, Inc. (Westlake TX)

TX

05/11/2011 - 05/24/2020

USAA FINANCIAL ADVISORS, INC. (ADDISON TX)

TX

11/13/1995 - 01/15/2010

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

NY

02/04/1994 - 08/15/1995

MONY SECURITIES CORP. (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 06/17/2005

Series 66 - Uniform Combined State Law Examination

BC

Issued 02/04/1994

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 01/02/2023

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 11/19/1997

Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/10/1996

Series 7 - General Securities Representative Examination

BC

Issued 02/03/1994

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 Roy Edward Plumlee.
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