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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)34 years in industry

ANNE M SCHWAB

Advisor at SCHWAB WEALTH ADVISORY, INC.

Phoenix, AZ

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:0083abce-d34c-b50b-1b2c-05dc29eb252c

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:54 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jul 9, 2002 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: SCHWAB WEALTH ADVISORY, INC.
Current firm class: no raum reportedderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 8, 1992earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 2
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S66|S63|S65
First exam: Jan 8, 1992
First registration: Jul 9, 2002
Dual registered: yes, broker-dealer
Other names: ANNE M SCHWAB-STERBIS|ANNA MARIE SCHWAB-STERBIS|ANNIE SCHWAB-STERBIS|Anna Marie Schwab|Anna Maria Schwab
IAPD individual key: 1348683

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
SCHWAB WEALTH ADVISORY, INC.	No RAUM reported	Sep 10, 2026	n/a	yes	Phoenix, AZ	Current employment
SCHWAB WEALTH ADVISORY, INC.	No RAUM reported	Sep 10, 2026	n/a	yes	Phoenix, AZ	Current employment
CHARLES SCHWAB & CO., INC.	National bd RIA	Sep 12, 2025	n/a	yes	Phoenix, AZ	Current employment
BERGER FINANCIAL GROUP	Independent wealth	Sep 26, 2022	Apr 7, 2023	no	Scottsdale, AZ\|PLYMOUTH, MN	Previous registration
TRANSAMERICA FINANCIAL ADVISORS, LLC	Bd affiliated wealth	Jul 9, 2002	Dec 31, 2003	no	W. CHICAGO, IL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
BERGER FINANCIAL GROUP	SCHWAB WEALTH ADVISORY, INC.	Apr 7, 2023	Sep 10, 2026	1,252	Firm change after gap	Other
TRANSAMERICA FINANCIAL ADVISORS, LLC	BERGER FINANCIAL GROUP	Dec 31, 2003	Sep 26, 2022	6,844	Firm change after gap	Other

Relationships

Registered with (4)

→ SCHWAB WEALTH ADVISORY, INC.Registered adviserregistration: current employment
Sep 10, 2026 to presentfactForm ADV
→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: current employment
Sep 12, 2025 to presentfactForm ADV
→ BERGER FINANCIAL GROUPRegistered adviserregistration: previous registration
Sep 26, 2022 to Apr 7, 2023factForm ADV
→ TRANSAMERICA FINANCIAL ADVISORS, LLCRegistered adviserregistration: previous registration
Jul 9, 2002 to Dec 31, 2003factForm ADV

Dated events

Occurred
Apr 7, 2023
Advisor changed firm
Anne M Schwab left Berger Financial Group for Charles Schwab & Co., Inc. (registered 2025-09-12)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0083abce-d34c-b50b-1b2c-05dc29eb252c
First observed: Jul 9, 2002
Last observed: Sep 15, 2026 4 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

ANNE M SCHWAB

Advisor at SCHWAB WEALTH ADVISORY, INC.

Phoenix, AZ

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:0083abce-d34c-b50b-1b2c-05dc29eb252c

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:54 AM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

SCHWAB WEALTH ADVISORY, INC.

No RAUM reported

Sep 10, 2026

n/a

yes

Phoenix, AZ

Current employment

SCHWAB WEALTH ADVISORY, INC.

No RAUM reported

Sep 10, 2026

n/a

yes

Phoenix, AZ

Current employment

CHARLES SCHWAB & CO., INC.

National bd RIA

Sep 12, 2025

n/a

yes

Phoenix, AZ

Current employment

BERGER FINANCIAL GROUP

Independent wealth

Sep 26, 2022

Apr 7, 2023

Scottsdale, AZ|PLYMOUTH, MN

Previous registration

TRANSAMERICA FINANCIAL ADVISORS, LLC

Bd affiliated wealth

Jul 9, 2002

Dec 31, 2003

W. CHICAGO, IL

Previous registration

From

Left

Joined

Gap, days

Kind

Move type

BERGER FINANCIAL GROUP

SCHWAB WEALTH ADVISORY, INC.

Apr 7, 2023

Sep 10, 2026

1,252

Firm change after gap

Other

TRANSAMERICA FINANCIAL ADVISORS, LLC

BERGER FINANCIAL GROUP

Dec 31, 2003

Sep 26, 2022

6,844

Firm change after gap

Other