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Tara Jane Smith

Schwab Wealth Advisory, Inc.

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About Tara Jane Smith

Tara Smith is a financial advisor with over 20 years of experience in the financial services industry. Tara is currently registered with Schwab Wealth Advisory, Inc. and is licensed to provide investment advice in Arizona and Texas. Tara has held previous registrations with Charles Schwab & Co., Inc. and Fidelity Brokerage Services LLC. Tara holds several licenses and certifications, including Series 7, 9, 10, 63, and 66. Tara also has experience as a fitness instructor and has a passion for personal and professional development.

Firm Information

Tara Smith 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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Tara Smith’s Registration & Firm History

AZ

01/10/2021 - Present

Schwab Wealth Advisory, Inc. (PHOENIX AZ)

AZ

11/11/2009 - 11/08/2011

CHARLES SCHWAB & CO., INC. (PHOENIX AZ)

AZ

06/06/2008 - 10/16/2009

FIDELITY BROKERAGE SERVICES LLC (SCOTTSDALE AZ)

AZ

12/13/1999 - 05/29/2008

CHARLES SCHWAB & CO., INC. (PHOENIX AZ)

RI

01/29/1999 - 11/16/1999

FIDELITY BROKERAGE SERVICES, INC. (SMITHFIELD RI)

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Licenses & Designations

BOTH

Issued 10/08/2003

Series 66 - Uniform Combined State Law Examination

BC

Issued 02/04/1999

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/02/2007

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 08/27/2007

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/28/1999

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There is public disclosure for Tara Jane Smith. Review regulatory record here.
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