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Detailed Report
ANDREW DEAN GORDON
Andrew Gordon
CRD#: 6651751
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
20162017201820192020202120222023202420252026IASCHWAB WEALTH ADVISORY, INC. (CRD# 159035)2021 - Present (3 years)BCHARLES SCHWAB & CO., INC. (CRD# 5393)2019 - Present (6 years)BT. ROWE PRICE INVESTMENT SERVI... (CRD# 8348)2016 - 2018 (1 year)IACHARLES SCHWAB & CO., INC. (CRD# 5393)2020 - 2021 (1 year)
License(s)

State Registrations

B
Alabama 1/4/2020
B
Nebraska 1/4/2020
B
Alaska 1/4/2020
B
Nevada 1/4/2020
B
Arizona 1/4/2020
B
New Hampshire 1/4/2020
B
Arkansas 1/4/2020
B
New Jersey 4/11/2019
B
California 1/2/2019
B
New Mexico 1/4/2020
B
Colorado 1/2/2019
B
New York 4/11/2019
IA
Colorado 7/12/2021
B
North Carolina 1/4/2020
B
Connecticut 1/4/2020
B
North Dakota 1/4/2020
B
Delaware 1/4/2020
B
Ohio 1/6/2020
B
District of Columbia 1/4/2020
B
Oklahoma 1/4/2020
B
Florida 4/11/2019
B
Oregon 1/4/2020
B
Georgia 1/4/2020
B
Pennsylvania 1/4/2020
B
Hawaii 1/4/2020
B
Puerto Rico 7/2/2021
B
Idaho 1/4/2020
B
Rhode Island 1/4/2020
B
Illinois 4/11/2019
B
South Carolina 1/4/2020
B
Indiana 1/4/2020
B
South Dakota 1/4/2020
B
Iowa 1/4/2020
B
Tennessee 1/4/2020
B
Kansas 1/4/2020
B
Texas 1/4/2020
B
Kentucky 1/4/2020
IA
Texas 7/12/2021
B
Louisiana 1/4/2020
B
Utah 1/4/2020
B
Maine 1/4/2020
B
Vermont 1/4/2020
B
Maryland 1/4/2020
B
Virgin Islands 7/2/2021
B
Massachusetts 1/4/2020
B
Virginia 1/4/2020
B
Michigan 1/4/2020
B
Washington 1/4/2020
B
Minnesota 1/4/2020
B
West Virginia 1/4/2020
B
Mississippi 1/4/2020
B
Wisconsin 1/4/2020
B
Missouri 1/4/2020
B
Wyoming 1/4/2020
B
Montana 1/4/2020

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 7/12/2021
B
CHARLES SCHWAB & CO., INC. (CRD#:5393)
9800 Schwab Way, Lone Tree, CO 80124
Registered with this firm since 1/2/2019
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 07/13/2020 - 07/12/2021 CHARLES SCHWAB & CO., INC. (CRD#:5393) SAN FRANCISCO, CA
B
 07/29/2016 - 06/19/2018 T. ROWE PRICE INVESTMENT SERVICES, INC. (CRD#:8348) COLORADO SPRINGS, 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.