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Brian Patrick Sweetman

Charles Schwab & Co., Inc.

Chicago, IL

CRD 2487023

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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_RES 2022-01-11
IL RA APPROVED 2017-06-01
  • TX RA
    APPROVED_RES
    Since 2022-01-11
  • IL RA
    APPROVED
    Since 2017-06-01

Branch Locations

150 S. Wacker Drive, Chicago, IL 60606-4111 • 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
Optionsxpress Chicago IL 01/2015 10/2017
Charles Schwab & Co., Inc Chicago IL 01/2015 Present
Charles Schwab Bank, Ssb Chicago IL 04/2021 Present
  • 01/2015 → 10/2017
    Optionsxpress
    Chicago, IL
  • 01/2015 → Present
    Charles Schwab & Co., Inc
    Chicago, IL
  • 04/2021 → Present
    Charles Schwab Bank, Ssb
    Chicago, IL
Previous Registrations
  • 2013-01-07 → 2013-11-05
    Saxony Capital Management, Llc
    Saint Louis, MO
    Chicago, IL
  • 2011-01-07 → 2012-07-17
    Brokersxpress Llc
    Chicago, IL
    Chicago, IL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-01-16
S65 Uniform Investment Adviser Law Examination 2011-01-06
S63 Uniform Securities Agent State Law Examination 2004-05-14
  • S66 Uniform Combined State Law Examination
    2018-01-16
  • S65 Uniform Investment Adviser Law Examination
    2011-01-06
  • S63 Uniform Securities Agent State Law Examination
    2004-05-14
Other Names
  • Brian P Sweetman
  • Brian Sweetman

View on SEC IAPD

Nearby Firms

BROWNSON, REHMUS & FOXWORTH, INC.
PFINGSTEN PARTNERS, L.L.C.
GUGGENHEIM FUNDS DISTRIBUTORS, LLC

Nearby Investors

James Michael Franch
HAROLD NELSON LEAVELL
CARLYLE KELLY MADDEN

Nearby Offices

BROWNSON, REHMUS & FOXWORTH, INC. · CHICAGO, IL
PFINGSTEN PARTNERS, L.L.C. · CHICAGO, IL
GUGGENHEIM FUNDS DISTRIBUTORS, LLC · CHICAGO, IL

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