Shane Christopher Braff Bengtson

CRD 3097455 · Charles Schwab & Co., Inc. · Westlake, TX

IA RegisteredBroker

Also appears in the source record as: Shane Christopher Broff Bengtson; Shane Christopher-Braff Bengtson; Shane C. Christopher-Braff Bengtson; Shane Christopher Braffbengtson

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): SIESeries 7Series 9Series 63Series 65
Registered states (53): 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 · Virgin Islands · 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

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 (12)

From the source registration record · current first

Charles Schwab & Co., Inc.Current
Westlake, TX · BC capacity

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

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

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

start not retrieved → present
Td Ameritrade, Inc.
St. Louis, MO · BC capacity

Apr 26, 2018 → Dec 31, 2023
Td Ameritrade, Inc.
St. Louis, MO · IA capacity

Jun 8, 2018 → Oct 14, 2022
The Retirement Planning Group, Inc.
Overland Park, KS · IA capacity

Apr 4, 2017 → Dec 5, 2017
Valmark Securities, Inc.
St. Louis, MO · BC capacity

Aug 29, 2005 → Jul 14, 2006
Cap Pro Brokerage Services, Inc.
Columbus, OH · BC capacity

Dec 15, 2004 → Jul 28, 2005
Proequities, Inc.
Birmingham, AL · BC capacity

Mar 5, 2004 → Dec 2, 2004
Honkamp Krueger Financial Services Inc
St. Louis, MO · IA capacity

May 25, 2004 → Dec 1, 2004
Edward Jones
St. Louis, MO · BC capacity

Sep 10, 1999 → May 31, 2000

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 3097455 ↗ FINRA BrokerCheck record for CRD 3097455 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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