Michael Chase Brooks

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

• 06/2017 → 10/2019
  Charles Schwab & Co.
  San Luis Obispo, CA
• 01/2023 → 07/2023
  J.P. Morgan Securities Llc
  Plano, TX
• 04/2017 → 05/2017
  Unemployed
  San Francisco, CA
• 08/2022 → 12/2022
  Unemployed
  Dallas, TX
• 04/2024 → 06/2024
  Ameriprise Financial Services, Llc
  Dallas, TX
• 08/2023 → 03/2024
  Unemployed
  Dallas, TX
• 06/2025 → Present
  Charles Schwab & Co., Inc
  San Luis Obispo, CA
• 07/2024 → 05/2025
  Unemployed
  San Luis Obispo, CA
• 06/2025 → Present
  Charles Schwab Bank
  San Luis Obispo, CA
• 11/2019 → 07/2022
  Fisher Investments
  Plano, TX
• 03/2015 → 03/2017
  First Republic Investment Management
  San Francisco, CA

Previous Registrations

• 2024-04-26 → 2024-06-07
  Ameriprise Financial Services, Llc
  Dallas, TX
• 2019-11-20 → 2022-07-11
  Fisher Investments
  Plano, TX
  Plano, TX
• 2017-06-29 → 2019-11-08
  Charles Schwab & Co., Inc.
  San Luis Obispo, CA
  Santa Barbara, CA
• 2015-03-04 → 2017-03-23
  J.P. Morgan Private Wealth Advisors Llc
  San Francisco, CA
  San Francisco, CA

Exams

• S63 Uniform Securities Agent State Law Examination
  2023-03-08
• S65 Uniform Investment Adviser Law Examination
  2013-03-27

Other Names

• Michael Chase Brooks
• Michael Brooks