Brody Allen Northcott

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:

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

Current Employers

Employment History

• 12/2014 → 03/2018
  Scottrade
  Colorado Springs, CO
• 03/2018 → 08/2018
  Oppenheimer & Co. Inc
  Denver, CO
• 10/2018 → Present
  Charles Schwab & Co., Inc.
  Lone Tree, CO

Previous Registrations

• 2018-03-28 → 2018-09-07
  Oppenheimer & Co. Inc.
  Denver, CO
• 2017-06-15 → 2018-03-07
  Scottrade Investment Management
  Saint Louis, MO

Other Businesses

(1) South Suburban Parks and Recreation District | not investment related | Littleton, Colorado | start date 10/04/2022 | softball umpire | officiate slow pitch softball games | less than 20 hours per month | none during securities trading hours. (2) Greater Denver Area Sports Association |Investment Related: No| PO Box 151206; Lakewood; CO;80125; USA |Sports/Physical Recreation |Softball Umpire|2023-08-05|Hours Per Month: Less than 20|HoursSpentduringSecurityTrading:0|Umpire Softball Games

Exams

• S66 Uniform Combined State Law Examination
  2017-06-15
• S63 Uniform Securities Agent State Law Examination
  2015-09-18