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Detailed Report
ANDREW VINCENT VANHORN
ANDY VANHORN
CRD#: 2369972
IA
Investment Adviser
B
Broker
SCHWAB WEALTH ADVISORY, INC.CRD#: 159035 9800 Schwab Way
Lone Tree, CO 80124
CHARLES SCHWAB & CO., INC.CRD#: 5393 9800 Schwab Way
Lone Tree, CO 80124
Registration History
1995200020052010201520202025IASCHWAB WEALTH ADVISORY, INC. (CRD# 159035)2019 - Present (6 years)BCHARLES SCHWAB & CO., INC. (CRD# 5393)1994 - Present (31 years)BWALFORD & COMPANY, INC. (CRD# 30720)1993 - 1993 (<1 year)IACHARLES SCHWAB & CO., INC. (CRD# 5393)2016 - 2019 (2 years)IASCHWAB PRIVATE CLIENT INVESTME... (CRD# 159035)2016 - 2018 (1 year)IACHARLES SCHWAB & CO., INC. (CRD# 5393)2012 - 2016 (4 years)IASCHWAB PRIVATE CLIENT INVESTME... (CRD# 159035)2012 - 2012 (<1 year)IACHARLES SCHWAB & CO., INC. (CRD# 5393)2003 - 2011 (8 years)
License(s)

State Registrations

B
California 2/2/1994
IA
Colorado 2/5/2019
B
Colorado 2/2/1994
IA
Texas 7/30/2019

SRO Registrations

B
 FINRA
B
 Nasdaq Stock Market

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
SCHWAB WEALTH ADVISORY, INC. (CRD#:159035)
9800 Schwab Way, Lone Tree, CO 80124
Registered with this firm since 2/5/2019
B
CHARLES SCHWAB & CO., INC. (CRD#:5393)
9800 Schwab Way, Lone Tree, CO 80124
Registered with this firm since 2/2/1994
Previous Registration(s)
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IA
 07/29/2016 - 02/05/2019 CHARLES SCHWAB & CO., INC. (CRD#:5393) ENGLEWOOD, CO
IA
 07/06/2016 - 05/18/2018 SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. (CRD#:159035) Lone Tree, CO
IA
 02/21/2012 - 07/06/2016 CHARLES SCHWAB & CO., INC. (CRD#:5393) ENGLEWOOD, CO
IA
 01/03/2012 - 03/01/2012 SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. (CRD#:159035) ENGLEWOOD, CO
IA
 02/06/2003 - 12/31/2011 CHARLES SCHWAB & CO., INC. (CRD#:5393) ENGLEWOOD, CO
B
 07/14/1993 - 11/10/1993 WALFORD & COMPANY, INC. (CRD#:30720)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.