Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
Gene Harold Almy Jr
GENE HAROLD ALMY JR, GENE HAROLD ALMY JR., GENE HAROLD ALMY, GENE ALMY
CRD#: 5888092
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
201220142016201820202022202420262 FIRMS2016 - Present (8 years)BFIDELITY BROKERAGE SERVICES LLC (CRD# 7784)2011 - 2016 (5 years)IASTRATEGIC ADVISERS, INC. (CRD# 104555)2012 - 2016 (4 years)
License(s)

State Registrations

B
Arizona 9/23/2016
B
Massachusetts 2/7/2024
B
California 6/28/2016
B
Nevada 11/26/2018
B
Colorado 6/28/2016
B
New Mexico 10/4/2019
IA
Colorado 6/28/2016
B
New York 11/26/2018
B
Delaware 9/26/2023
B
Ohio 6/9/2023
B
Florida 9/23/2016
B
Oregon 9/28/2016
B
Georgia 2/7/2024
B
South Carolina 1/23/2023
B
Hawaii 8/2/2017
B
Texas 10/28/2016
B
Idaho 7/30/2018
IA
Texas 1/11/2021
B
Illinois 2/7/2024
B
Washington 9/6/2018
B
Maryland 1/24/2018

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 6/28/2016
B
CHARLES SCHWAB & CO., INC. (CRD#:5393)
9800 Schwab Way, Lone Tree, CO 80124
Registered with this firm since 6/28/2016
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/24/2012 - 06/22/2016 STRATEGIC ADVISERS, INC. (CRD#:104555) LONE TREE, CO
B
 04/07/2011 - 06/20/2016 FIDELITY BROKERAGE SERVICES LLC (CRD#:7784) LONE TREE, CO
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.