Daniel Brooks

CRD 3093459 · Charles Schwab & Co., Inc. · Allentown, PA

IA RegisteredBroker

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (9): Series 57TOSIESeries 55Series 7Series 6Series 24Series 66Series 65Series 63
Registered states (20): Arizona · California · Colorado · Florida · Hawaii · Illinois · Massachusetts · Montana · New Jersey · New York · North Carolina · Ohio · Oregon · Pennsylvania · Rhode Island · South Carolina · Tennessee · Texas · Virginia · Wisconsin
Years in the industry (source record): 27
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 & 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 (11)

From the source registration record · current first

Charles Schwab & Co., Inc.Current
Allentown, PA · BC capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
Allentown, PA · IA capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
Allentown, PA · IA capacity

start not retrieved → present
Amerivest Investment Management, LLC
Philadelphia, PA · IA capacity

May 5, 2006 → Mar 12, 2007
Td Ameritrade, Inc.
King Of Prussia, PA · IA capacity

Feb 17, 2005 → Mar 12, 2007
Td Ameritrade, Inc.
King Of Prussia, PA · BC capacity

Sep 17, 2004 → Mar 12, 2007
Metropolitan Life Insurance Company
New York, NY · BC capacity

Feb 5, 2004 → Sep 20, 2004
Metlife Securities Inc.
Springfield, MA · BC capacity

Feb 5, 2004 → Sep 20, 2004
Computershare Securities Corporation
Chicago, IL · BC capacity

Aug 24, 2001 → Jan 29, 2004
Summit Financial Services Group, Inc.
Bethlehem, PA · BC capacity

Dec 22, 1998 → Jul 6, 2001
Conseco Financial Services, Inc.
Carmel, IN · BC capacity

Aug 24, 1998 → Nov 30, 1998

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 3093459 ↗ FINRA BrokerCheck record for CRD 3093459 ↗ 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.