Brian Adam Rogers

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

Authority	Category	Status	Date
TX	RA	APPROVED	2003-01-15

TX RA
APPROVED

Since 2003-01-15

Branch Locations

5100 Belt Line Rd. Suite 852, Dallas, TX 75254 • United States

8401 N Central Expy Suite 110, Dallas, TX 75225-4403 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Charles Schwab Bank	Dallas	TX	02/2005	Present
Charles Schwab & Co., Inc.	Dallas	TX	08/2002	Present

02/2005 → Present

Charles Schwab Bank

Dallas, TX
08/2002 → Present

Charles Schwab & Co., Inc.

Dallas, TX

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2002-11-26
S63	Uniform Securities Agent State Law Examination	1998-12-30

S66 Uniform Combined State Law Examination

2002-11-26
S63 Uniform Securities Agent State Law Examination

1998-12-30

View on SEC IAPD

Employer firm

Current Employers

Charles Schwab & Co., Inc.

Disclosures

Employment History

Exams

Nearby Firms

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