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Steven Keith Brooks

Schwab Wealth Advisory, Inc.

Richfield, OH

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Current Employers
Schwab Wealth Advisory, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2021-06-03
OH RA APPROVED 2021-05-17
  • TX RA
    APPROVED_RES
    Since 2021-06-03
  • OH RA
    APPROVED
    Since 2021-05-17

Branch Locations

4150 Kinross Lakes Pkwy, Richfield, OH 44286 • 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 Richfield OH 02/2016 Present
Charles Schwab Bank Lyndhurst OH 08/2017 05/2021
Schwab Wealth Advisory Inc Richfield OH 05/2021 Present
  • 02/2016 → Present
    Charles Schwab & Co., Inc
    Richfield, OH
  • 08/2017 → 05/2021
    Charles Schwab Bank
    Lyndhurst, OH
  • 05/2021 → Present
    Schwab Wealth Advisory Inc
    Richfield, OH
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-07-29
  • S66 Uniform Combined State Law Examination
    2016-07-29

View on SEC IAPD

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Other Investors

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GEORGE MCELROY AUSSEM
WENDI B. DEVAN-GLOVNA
Kurt U Shore
BRADFORD CHARLES BURGESS
MARCI M STEWART
Elizabeth Loveman
HARLYNN J M J HOBBS

Other Offices

CHARLES SCHWAB & CO., INC. · Richfield, OH
SCHWAB WEALTH ADVISORY, INC. · Richfield, OH
CHARLES SCHWAB INVESTMENT MANAGEMENT, INC · Richfield, OH
EDWARD JONES · Richfield, OH
RABE INVESTMENT CONSULTING GROUP · RICHFIELD, OH
SIKICH FINANCIAL · Richfield, OH
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Richfield, OH
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Richfield, OH

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