Brian James Rose

CRD 3086870 · Charles Schwab & Co., Inc. · Lone Tree, CO

Broker

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Not registered in this capacity
Exams passed (7): Series 57TOSIESeries 55Series 7Series 10Series 9Series 63
Registered states (47): 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 Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Rhode Island · Texas · Utah · Vermont · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 24
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 3086870 contains one or more disclosure events as of Aug 20, 2026.

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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 (6)

From the source registration record · current first

Charles Schwab & Co., Inc.Current
Lone Tree, CO · BC capacity

start not retrieved → present
Optionsxpress, Inc.
Phoenix, AZ · BC capacity

Jan 18, 2017 → Nov 13, 2017
Wells Fargo Investments, LLC
Bellevue, WA · BC capacity

Nov 2, 2006 → Mar 19, 2007
Cuso Financial Services, L.P.
San Diego, CA · BC capacity

Sep 9, 2003 → Jul 26, 2005
E*trade Clearing LLC
Jersey City, NJ · BC capacity

Sep 3, 2002 → Apr 23, 2003
E*trade Securities LLC
Jersey City, NJ · BC capacity

Jul 6, 1999 → Sep 3, 2002

Source & corrections

Where this page comes from

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