Andrew BattlesCRD Number: 2992881
Current Firm: Schwab Private Client Investment Advisory, Inc.
Andrew Battles (CRD# 2992881) is an Investment Advisor Representative working at Schwab Private Client Investment Advisory, Inc. in Phoenix, AZ and has over 16 years of experience in the finance industry.
Householder Group Estate & Retirement Specialists
Newman's Financial Planning
Woodbury Financial Services, Inc.
|Rental Property||Phoenix, AZ||Oct 2012 - Current||4|
|Schwab Private Client Investment Advisory, Inc.||Phoenix, AZ||Jan 2012 - Current||5|
|Charles Schwab Company,inc.||Phoenix, AZ||Apr 2000 - Current||17|
|Charles Schwab Bank||Phoenix, AZ||Feb 2005 - Dec 2011||6|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Aug 2000|
|S66||NASAA Uniform Combined State Law Examination||Oct 2006|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management67,823MILLIONS
Total Number of Accounts155,246ACCOUNTS
Average Account Value$436,876
- Financial planning services
- Portfolio management for individuals and/or small businesses
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV