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Brian Sognefest

Charles Schwab & Co., Inc.

Mission Viejo, CA

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Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2021-09-17
  • CA RA
    APPROVED
    Since 2021-09-17

Branch Locations

27201 Puerta Real Suite 100, Mission Viejo, CA 92691-8570 • 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. Mission Viejo CA 08/2021 Present
Charles Schwab Bank, Ssb Mission Viejo CA 08/2021 Present
Roth Capital Partners Newport Beach CA 10/2001 08/2021
  • 08/2021 → Present
    Charles Schwab & Co., Inc.
    Mission Viejo, CA
  • 08/2021 → Present
    Charles Schwab Bank, Ssb
    Mission Viejo, CA
  • 10/2001 → 08/2021
    Roth Capital Partners
    Newport Beach, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-08-20
S63 Uniform Securities Agent State Law Examination 1996-08-05
  • S66 Uniform Combined State Law Examination
    2021-08-20
  • S63 Uniform Securities Agent State Law Examination
    1996-08-05
Other Names
  • Brian Caldwell Sognefest

View on SEC IAPD

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Other Offices

EDWARD JONES · MISSION VIEJO, CA
J.P. MORGAN SECURITIES LLC · MISSION VIEJO, CA
WELLS FARGO CLEARING SERVICES, LLC · MISSION VIEJO, CA
PFS INVESTMENTS INC. · MISSION VIEJO, CA
CETERA INVESTMENT ADVISERS LLC · MISSION VIEJO, CA
PFS INVESTMENTS INC. · MISSION VIEJO, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · MISSION VIEJO, CA
J.P. MORGAN SECURITIES LLC · MISSION VIEJO, CA

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