Maximillian Breier

CRD 2796077 · Charles Schwab Investment Management, Inc · New York City, NY

IA RegisteredRegistration inactive

Also appears in the source record as: Max Breier; Maximillian Dov Breier

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Inactive
Investment adviser registration: Active
Exams passed (7): Series 65Series 63Series 57TOSIESeries 3Series 55Series 7
Registered states (1): New York
Years in the industry (source record): 30
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Charles Schwab Investment Management, Inc
Firm CRD: 106753
SEC number: 801-35905
Assets under management: $1.7T as of Mar 30, 2026
Website: www.thomaspartnersinvestmentmanagement.com ↗
Phone: 800-650-9744
Firm location: San Francisco, CA, 94105

Employment history (11)

From the source registration record · current first

Charles Schwab Investment Management, IncCurrent
New York City, NY · IA capacity

Sep 23, 2025 → present
Neuberger Berman Bd LLC
IA capacity

Oct 19, 2015 → Sep 12, 2025
Neuberger Berman Bd LLC
BD capacity

Jul 13, 2015 → Sep 12, 2025
Bmo Capital Markets Corp.
BD capacity

Oct 6, 2010 → Jul 21, 2015
Rbc Capital Markets Corporation
BD capacity

Feb 29, 2008 → May 14, 2009
Rbc Capital Markets Corporation
BD capacity

Jan 7, 2008 → Feb 29, 2008
Banc Of America Securities LLC
BD capacity

Apr 27, 2005 → Apr 4, 2006
Susquehanna Financial Group, Lllp
BD capacity

Apr 23, 2003 → Apr 27, 2005
Bnp Paribas Securities Corp.
BD capacity

Oct 16, 2001 → Apr 9, 2003
Ubs Warburg LLC
BD capacity

Jul 15, 1998 → Feb 9, 2001
Bt Alex. Brown Incorporated
BD capacity

Sep 19, 1996 → May 28, 1998

Source & corrections

Where this page comes from

Advisor registration data on this site is reproduced from the SEC's Investment Adviser Public Disclosure (IAPD) system and FINRA's BrokerCheck. Those systems are the official records; this site is not. We do not alter the factual content of the records we reproduce.

SEC IAPD record for CRD 2796077 ↗ FINRA BrokerCheck record for CRD 2796077 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

Data compiled Aug 20, 2026. Source: IAPD_SEARCH. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.

Preview release — partial coverage. This is a public-records lookup tool, not investment advice, not a recommendation, and not an endorsement of any advisor. Registration status shown here is a copy of a government record and may be out of date; always confirm against SEC IAPD and FINRA BrokerCheck before acting.