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Investment Adviser Firm Summary

SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. (CRD# 159035 / SEC# 801-72795)
Alternate Names: SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC.

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 12/09/2011

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 12/09/2011
Alaska 12/09/2011
Arizona 01/26/2012
Arkansas 12/09/2011
California 12/09/2011
Colorado 12/09/2011
Connecticut 12/09/2011
Delaware 12/19/2011
District of Columbia 01/03/2012
Florida 12/09/2011
Georgia 12/09/2011
Hawaii 12/09/2011
Idaho 12/09/2011
Illinois 12/09/2011
Indiana 12/09/2011
Iowa 12/09/2011
Kansas 12/09/2011
Kentucky 12/09/2011
Louisiana 12/09/2011
Maine 12/09/2011
Maryland 12/09/2011
Massachusetts 01/26/2012
Michigan 12/09/2011
Minnesota 12/09/2011
Mississippi 12/09/2011
Missouri 12/09/2011
Montana 12/09/2011
Nebraska 12/09/2011
Nevada 12/09/2011
New Hampshire 12/09/2011
New Jersey 01/26/2012
New Mexico 12/09/2011
New York 12/09/2011
North Carolina 12/09/2011
North Dakota 12/09/2011
Ohio 12/09/2011
Oklahoma 12/09/2011
Oregon 12/09/2011
Pennsylvania 12/09/2011
Puerto Rico 12/09/2011
Rhode Island 12/09/2011
South Carolina 12/09/2011
South Dakota 12/09/2011
Tennessee 12/09/2011
Texas 12/09/2011
Utah 12/09/2011
Vermont 12/09/2011
Virginia 12/09/2011
Washington 12/09/2011
West Virginia 12/09/2011
Wisconsin 12/09/2011
Wyoming 07/18/2017

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser