Nicholas James Broetzman

Employer firm

Schwab Wealth Advisory, Inc. CRD 159035

168,774 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)

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

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 07/2013 → Present
  Charles Schwab & Co., Inc.
  Lone Treee, CO
• 05/2013 → 05/2017
  Self
  Aurora, CO
• 08/2020 → Present
  Schwab Wealth Advisory Inc
  Lone Tree, CO

Other Businesses

FINRA CONTRACTOR | INVESTMENT-RELATED | 1735 K STREET NW, WASHINGTON, DC 20006 | FINANCIAL SERVICES | ARBITRATOR | 04/08/2019 | LESS THAN 20 HPM | 1 HR DURING TRADING HOURS | CONTRACT EMPLOYEE FOR FINRA. FINRA ARBITRATORS RESOLVE SECURITIES-RELATED DISPUTES.

Exams

• S66 Uniform Combined State Law Examination
  2017-06-16
• S63 Uniform Securities Agent State Law Examination
  2015-06-05

Designations

• Certified Financial Planner