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Detailed Report
VINCENT EDWARD HECK
VINCENT HECK
CRD#: 5084691
IA
Investment Adviser
B
Broker
SCHWAB WEALTH ADVISORY, INC.CRD#: 159035 2423 E Lincoln Dr
Phoenix, AZ 85016
CHARLES SCHWAB & CO., INC.CRD#: 5393 2423 E Lincoln Dr
Phoenix, AZ 85016-1215
Registration History
200620082010201220142016201820202022202420262 FIRMS2007 - 2008 (1 year)IASCHWAB WEALTH ADVISORY, INC. (CRD# 159035)2015 - Present (9 years)BCHARLES SCHWAB & CO., INC. (CRD# 5393)2008 - Present (16 years)BUSAA INVESTMENT MANAGEMENT COMPANY (CRD# 5475)2006 - 2007 (1 year)IACHARLES SCHWAB & CO., INC. (CRD# 5393)2008 - 2015 (6 years)
License(s)

State Registrations

B
Alabama 9/28/2015
B
Montana 9/28/2015
B
Alaska 9/28/2015
B
Nebraska 9/28/2015
B
Arizona 11/14/2008
B
Nevada 9/28/2015
IA
Arizona 10/6/2015
B
New Hampshire 9/28/2015
B
Arkansas 9/28/2015
B
New Jersey 9/28/2015
B
California 11/14/2008
B
New Mexico 9/28/2015
IA
California 1/5/2016
B
New York 9/28/2015
B
Colorado 9/28/2015
B
North Carolina 9/28/2015
B
Connecticut 9/28/2015
B
North Dakota 9/28/2015
B
Delaware 9/28/2015
B
Ohio 9/28/2015
B
District of Columbia 9/28/2015
B
Oklahoma 9/28/2015
B
Florida 9/28/2015
B
Oregon 9/28/2015
B
Georgia 9/28/2015
B
Pennsylvania 9/28/2015
B
Hawaii 9/28/2015
B
Puerto Rico 9/28/2015
B
Idaho 9/28/2015
B
Rhode Island 9/28/2015
B
Illinois 9/28/2015
B
South Carolina 9/28/2015
B
Indiana 9/28/2015
B
South Dakota 9/28/2015
B
Iowa 9/28/2015
B
Tennessee 9/28/2015
B
Kansas 9/28/2015
B
Texas 9/28/2015
B
Kentucky 9/28/2015
IA
Texas 1/4/2022
B
Louisiana 9/28/2015
B
Utah 9/28/2015
B
Maine 9/28/2015
B
Vermont 9/28/2015
B
Maryland 9/28/2015
B
Virgin Islands 9/28/2015
B
Massachusetts 9/28/2015
B
Virginia 9/28/2015
B
Michigan 9/28/2015
B
Washington 9/28/2015
B
Minnesota 9/28/2015
B
West Virginia 9/28/2015
B
Mississippi 9/28/2015
B
Wisconsin 9/28/2015
B
Missouri 9/28/2015
B
Wyoming 9/28/2015

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)
2423 E Lincoln Dr, Phoenix, AZ 85016
Registered with this firm since 10/6/2015
B
CHARLES SCHWAB & CO., INC. (CRD#:5393)
2423 E Lincoln Dr, Phoenix, AZ 85016-1215
PEORIA, AZ
Registered with this firm since 11/14/2008
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 11/14/2008 - 10/07/2015 CHARLES SCHWAB & CO., INC. (CRD#:5393) PHOENIX, AZ
IA
 04/16/2007 - 10/27/2008 USAA INVESTMENT MANAGEMENT COMPANY (CRD#:5475) PHOENIX, AZ
B
 09/21/2007 - 10/27/2008 USAA FINANCIAL ADVISORS, INC. (CRD#:129035) PHOENIX, AZ
B
 02/13/2006 - 12/31/2007 USAA INVESTMENT MANAGEMENT COMPANY (CRD#:5475) PHOENIX, AZ
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.