Brian James Boccio

CRD 3001219 · Charles Schwab & Co., Inc. · Lone Tree, CO

IA RegisteredBroker

Also appears in the source record as: Brian J Boccio

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (11): Series 52TOSIESeries 31Series 7Series 10Series 9Series 4Series 53Series 24Series 66Series 63
Registered states (52): Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 26
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 3001219 contains one or more disclosure events as of Aug 20, 2026.

findmyFA.app does not reproduce, summarise, characterise, or interpret the content of disclosure events. A disclosure event is a category of entry in a regulatory record; it is not, by itself, a finding of wrongdoing. Read the events in full on the official systems:

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Current firm

From the firm record

Firm: Charles Schwab & Co., Inc.
Firm CRD: 5393
SEC number: 801-29938
Assets under management: Not yet retrieved from the source record
Website: www.linkedin.com/COMPANY/SCHWAB-ADVISOR-SERVICES ↗
Phone: 415-667-7000
Firm location: San Francisco, CA, 94105

Employment history (14)

From the source registration record · current first

Charles Schwab & Co., Inc.Current
Nashville, TN · IA capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
Lone Tree, CO · BC capacity

start not retrieved → present
Usaa Financial Planning Services
San Francisco, CA · IA capacity

Dec 12, 2014 → Jul 22, 2016
Usaa Financial Advisors, Inc.
San Francisco, CA · BC capacity

Dec 12, 2014 → Jul 22, 2016
J.P. Morgan Securities LLC
Pleasanton, CA · IA capacity

Oct 1, 2012 → Oct 21, 2014
J.P. Morgan Securities LLC
Pleasanton, CA · BC capacity

Oct 1, 2012 → Oct 21, 2014
Chase Investment Services Corp.
Hercules, CA · IA capacity

Mar 5, 2010 → Oct 1, 2012
Chase Investment Services Corp.
Hercules, CA · BC capacity

Mar 5, 2010 → Oct 1, 2012
Waddell & Reed, Inc.
Stockton, CA · IA capacity

May 22, 2009 → Mar 5, 2010
Waddell & Reed, Inc.
Stockton, CA · BC capacity

May 22, 2009 → Mar 5, 2010
Banc Of America Investment Services, Inc.
Walnut Creek, CA · IA capacity

Sep 9, 2005 → Feb 9, 2009
Banc Of America Investment Services, Inc.
Walnut Creek, CA · BC capacity

Sep 9, 2005 → Feb 9, 2009
Citigroup Global Markets Inc.
Walnut Creek, CA · IA capacity

Feb 16, 1999 → Sep 27, 2005
Citigroup Global Markets Inc.
New York, NY · BC capacity

Jan 11, 1999 → Sep 27, 2005

Source & corrections

Where this page comes from

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