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Detailed Report
RICK ALLEN PRESLEY
DERRICK ALLEN PRESLEY, RICK PRESLEY
CRD#: 2733098
IA
Investment Adviser
B
Broker
SCHWAB WEALTH ADVISORY, INC.CRD#: 159035 8332 WOODFIELD CROSSING BLVD.
INDIANAPOLIS, IN 46240-2482
CHARLES SCHWAB & CO., INC.CRD#: 5393 8332 Woodfield Crossing Blvd
Indianapolis, IN 46240-2482
Registration History
1996199820002002200420062008201020122014201620182020202220242026IASCHWAB WEALTH ADVISORY, INC. (CRD# 159035)2016 - Present (8 years)BCHARLES SCHWAB & CO., INC. (CRD# 5393)1996 - Present (28 years)
License(s)

State Registrations

B
Alabama 4/25/2016
B
Michigan 4/25/2016
B
Arizona 4/25/2016
B
Minnesota 4/25/2016
B
Arkansas 4/25/2016
B
Mississippi 4/25/2016
B
California 7/8/1996
B
New Jersey 2/13/2024
B
Colorado 4/25/2016
B
New York 4/25/2016
B
Connecticut 4/25/2016
B
North Carolina 3/11/2024
B
Florida 4/25/2016
B
Ohio 4/25/2016
B
Georgia 4/25/2016
B
Oklahoma 4/25/2016
B
Hawaii 4/25/2016
B
South Carolina 4/25/2016
B
Illinois 4/25/2016
B
Tennessee 4/25/2016
B
Indiana 7/8/1996
B
Texas 4/25/2016
IA
Indiana 6/3/2016
IA
Texas 1/11/2021
B
Iowa 4/25/2016
B
Utah 4/25/2016
B
Kentucky 4/25/2016
B
Virginia 4/25/2016
B
Maryland 4/25/2016
B
Washington 4/25/2016
B
Massachusetts 4/25/2016
B
Wisconsin 4/25/2016

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)
8332 WOODFIELD CROSSING BLVD., INDIANAPOLIS, IN 46240-2482
Registered with this firm since 6/3/2016
B
CHARLES SCHWAB & CO., INC. (CRD#:5393)
8332 Woodfield Crossing Blvd, Indianapolis, IN 46240-2482
CARMEL, IN
Registered with this firm since 6/4/1996
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.