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Scott Shoates

Schwab Wealth Advisory, Inc.

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About Scott Shoates

Scott Shoates is a financial advisor with over 17 years of experience in the financial services industry. Scott is currently registered with Schwab Wealth Advisory, Inc. and has been with the firm since December 2021. Scott has previously worked for Fidelity Brokerage Services LLC and TD Ameritrade, Inc. Scott is a Certified Financial Planner (CFP) and holds Series 7, 63, and 66 securities licenses. Scott specializes in providing financial planning and portfolio management services to individuals and businesses.

Firm Information

Scott Shoates 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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Scott Shoates’s Registration & Firm History

TX

01/26/2022 - Present

Schwab Wealth Advisory, Inc. (Westlake TX)

TX

01/17/2018 - 07/09/2018

FIDELITY BROKERAGE SERVICES LLC (WESTLAKE TX)

TX

01/29/2016 - 01/11/2018

TD AMERITRADE, INC. (FORT WORTH TX)

TX

03/17/2006 - 01/05/2016

FIDELITY BROKERAGE SERVICES LLC (WESTLAKE TX)

MN

01/29/1999 - 02/01/2000

AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)

MN

01/29/1999 - 02/01/2000

IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)

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Licenses & Designations

BC

Issued 06/17/2022

Series 63 - Uniform Securities Agent State Law Examination

BOTH

Issued 08/30/2010

Series 66 - Uniform Combined State Law Examination

BC

Issued 07/09/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/21/2006

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There is public disclosure for Scott Shoates. Review regulatory record here.
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