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Brian David Sockow

Charles Schwab & Co., Inc.

Austin, TX

CRD 7117603

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Employer firm

Charles Schwab & Co., Inc. CRD 5393

955,800 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Selection of other advisers
  • WRAP FEE PROGRAM SPONSOR AND FINANCIAL PLANNING ADVISOR REFERRAL PROGRAM

From the firm’s Form ADV. Read the guides:

Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2021-05-24
  • TX RA
    APPROVED
    Since 2021-05-24

Branch Locations

11800 Schwab Way, Austin, TX 78758 • 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
Hantz Financial Services Southfield MI 05/2019 01/2021
Skyzone Saginaw MI 04/2017 05/2019
Saginaw Valley State University Saginaw MI 08/2015 05/2019
Kohl's Northville MI 05/2016 01/2017
Charles Schwab & Co., Inc. Austin TX 05/2021 Present
Unemployed Canton MI 01/2021 05/2021
  • 05/2019 → 01/2021
    Hantz Financial Services
    Southfield, MI
  • 04/2017 → 05/2019
    Skyzone
    Saginaw, MI
  • 08/2015 → 05/2019
    Saginaw Valley State University
    Saginaw, MI
  • 05/2016 → 01/2017
    Kohl's
    Northville, MI
  • 05/2021 → Present
    Charles Schwab & Co., Inc.
    Austin, TX
  • 01/2021 → 05/2021
    Unemployed
    Canton, MI
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-09-03
  • S66 Uniform Combined State Law Examination
    2019-09-03
Other Names
  • Brian Sockow

View on SEC IAPD

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