Best Investors Account Sign in

Daniel Brooks

Charles Schwab & Co., Inc.

Wayne, PA

Allentown, PA

Claim This Profile
Current Employers
Charles Schwab & Co., Inc.

425 Market Street 17Th Floor, San Francisco, CA 94105 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2019-01-04
PA RA APPROVED 2013-10-25
  • TX RA
    APPROVED_RES
    Since 2019-01-04
  • PA RA
    APPROVED
    Since 2013-10-25

Branch Locations

200 West Lancaster Ave, Wayne, PA 19087-4046 • United States

1150 S Cedar Crest Blvd Suite 100, Allentown, PA 18103-7900 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Charles Schwab & Co., Inc. Allentown PA 02/2007 Present
Charles Schwab Bank Allentown PA 03/2007 Present
Previous Registrations
  • 2005-02-17 → 2007-03-12
    Td Ameritrade, Inc.
    Philadelphia, PA
    Radnor, PA
    Princeton, NJ
    Princeton, NJ
  • 2006-05-05 → 2007-03-12
    Td Ameritrade Investment Management, Llc
    Princeton, NJ
    Philadelphia, PA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-02-15
S65 Uniform Investment Adviser Law Examination 2001-04-16
S63 Uniform Securities Agent State Law Examination 1999-01-15
  • S66 Uniform Combined State Law Examination
    2005-02-15
  • S65 Uniform Investment Adviser Law Examination
    2001-04-16
  • S63 Uniform Securities Agent State Law Examination
    1999-01-15

View on SEC IAPD

Other Firms

ADDIS & HILL, INCORPORATED
PNC WEALTH MANAGEMENT LLC
HORNOR, TOWNSEND & KENT, LLC
TODOROW CAPITAL PARTNERS LLC
HARVEST FUND ADVISORS LLC
ACT CAPITAL MANAGEMENT, LLC
FOCUS PARTNERS WEALTH, LLC
THE ASCENT GROUP, LLC

Other Investors

JUSTIN J HILL
Kelly F Bashore
KENT RUSSELL ADDIS
Flynn Michael Ryan
PETER MASTROMARCO
KENNETH WAYNE LISKEY
Colleen Maura Lotto
Dana LoMonaco

Other Offices

ADDIS & HILL, INCORPORATED · WAYNE, PA
PNC WEALTH MANAGEMENT LLC · Wayne, PA
HORNOR, TOWNSEND & KENT, LLC · WAYNE, PA
TODOROW CAPITAL PARTNERS LLC · WAYNE, PA
HARVEST FUND ADVISORS LLC · WAYNE, PA
ACT CAPITAL MANAGEMENT, LLC · WAYNE, PA
FOCUS PARTNERS WEALTH, LLC · Wayne, PA
THE ASCENT GROUP, LLC · WAYNE, PA

More in Wayne, PA

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor