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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)19 years in industry

JOANNA WESTHAFER PETERS

Advisor at SCHWAB WEALTH ADVISORY, INC.

Phoenix, AZ

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:26 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Jul 31, 2019 to Sep 14, 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: Jul 1, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S63
First exam: Aug 22, 2012
First registration: Jul 31, 2019
Dual registered: yes, broker-dealer
Other names: JOANNA WESTHAFER PETERS|Joanna W Peters|Joanna Lee Westhafer
IAPD individual key: 5739515

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	Nov 17, 2023	n/a	yes	Phoenix, AZ	Current employment
VANGUARD ADVISERS, INC.	Bd affiliated wealth	Jul 13, 2022	Nov 3, 2023	no	Scottsdale, AZ	Previous registration
FIDELITY PERSONAL AND WORKPLACE ADVISORS	Former SEC adviser	Apr 19, 2021	Apr 20, 2022	no	SCOTTSDALE, AZ	Previous registration
VANGUARD ADVISERS, INC.	Bd affiliated wealth	Jul 31, 2019	Mar 30, 2021	no	Scottsdale, AZ	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
VANGUARD ADVISERS, INC.	SCHWAB WEALTH ADVISORY, INC.	Nov 3, 2023	Nov 17, 2023	14	Firm change	Other
FIDELITY PERSONAL AND WORKPLACE ADVISORS	VANGUARD ADVISERS, INC.	Apr 20, 2022	Jul 13, 2022	84	Firm change	Ibd to ibd
VANGUARD ADVISERS, INC.	FIDELITY PERSONAL AND WORKPLACE ADVISORS	Mar 30, 2021	Apr 19, 2021	20	Firm change	Ibd to ibd

Relationships

Registered with (3)

→ SCHWAB WEALTH ADVISORY, INC.Registered adviserregistration: current employment
Nov 17, 2023 to presentfactForm ADV
→ VANGUARD ADVISERS, INC.Registered adviserregistration: previous registration
Jul 13, 2022 to Nov 3, 2023factForm ADV
→ FIDELITY PERSONAL AND WORKPLACE ADVISORSRegistered adviserregistration: previous registration
Apr 19, 2021 to Apr 20, 2022factForm ADV

Dated events

Occurred
Nov 3, 2023
Advisor changed firm
Joanna Westhafer Peters left Vanguard Advisers, Inc. for Schwab Wealth Advisory, Inc. (registered 2023-11-17)
Form ADVobserved 6 days ago
Occurred
Apr 20, 2022
Advisor changed firm
Joanna Westhafer Peters left Fidelity Personal And Workplace Advisors for Vanguard Advisers, Inc. (registered 2022-07-13)
Form ADVobserved 6 days ago