Richard Schwab has been an investment adviser representative at Your Ia since June 2026, and is not listed among the firm’s executive officers or direct owners.
Your Ia, LLC is a St. George, UT firm with $107M under management, 190 clients and 15 advisers across 20 offices, as of its August 2026 filing.
Richard Schwab’s longest registration was 7 years at Transamerica Financial Advisors, LLC (2017–2025). Before joining Your Ia in 2026, Richard Schwab was registered through Thepartners Wealth Management and Transamerica Financial Advisors, LLC.
- Thepartners Wealth Management– · under a yearTempe, AZ · Adviser representative · Firm CRD 314816
- Transamerica Financial Advisors, LLC– · 7 yearsPhoenix, AZ · Adviser representative · Firm CRD 16164
Investment adviser representative registrations
Richard Schwab is registered as an investment adviser representative in Arizona, since June 2026.
- ArizonaSince 4 June 2026
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 5 October 2017 |
| Series 63 | Uniform Securities Agent State Law Examination | 31 May 2017 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 25 May 2017 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Richard Paul Schwab
- CRD
- 6758287
- Firm
- Your Ia · CRD 338535
- Office
- Tempe, AZ
- Registration
- Investment adviser registration
- In the industry since
- November 2017
- Disciplinary history
- Not yet shown here · SEC record
Where does Richard Schwab work?
Richard Schwab is an investment adviser representative registered through Your Ia, LLC since June 2026, and is not listed among the firm’s executive officers or direct owners.
Is Richard Schwab a financial advisor?
Yes. Richard Schwab has a current investment-adviser registration in Arizona, through Your Ia since June 2026.
How many years of experience does Richard Schwab have?
Richard Schwab has 8 years in the financial industry, since November 2017, across 3 adviser firms.
What exams has Richard Schwab passed?
Richard Schwab has passed 3 licensing exams: the Series 6, Series 63 and Series 65. The earliest, the Series 6, was passed in May 2017. FINRA credited Richard Schwab with the SIE, which began in October 2018.
Where did Richard Schwab work before Your Ia?
Before Your Ia, Richard Schwab was registered through Thepartners Wealth Management, May 2025 to March 2026; Transamerica Financial Advisors, LLC, October 2017 to January 2025.
Where is Richard Schwab based?
Richard Schwab’s registered office is in Tempe, AZ.
Is Richard Schwab registered with FINRA?
No. Richard Schwab has no current broker registration.
How can I verify Richard Schwab’s record?
Search CRD 6758287 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Richard Schwab’s full registration record.