Brian Francis Fitzsimmons

CRD 5919866 · Charles Schwab & Co., Inc. · Philadelphia, PA

IA RegisteredBroker

Also appears in the source record as: Brian F Fitzsimmons; Brian Fitzsimmons

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): SIESeries 7Series 65Series 63
Registered states (5): Florida · New Jersey · New York · Pennsylvania · Puerto Rico
Years in the industry (source record): 14
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
Philadelphia, PA · IA capacity

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

start not retrieved → present
Fidelity Personal And Workplace Advisors
Villanova, PA · IA capacity

Mar 10, 2023 → Aug 20, 2024
Fidelity Brokerage Services LLC
Exton, PA · BC capacity

Feb 2, 2023 → Aug 20, 2024
Vanguard Marketing Corporation
Malvern, PA · BC capacity

Feb 13, 2020 → Jan 30, 2023
Prudential Financial Planning Services
Dresher, PA · IA capacity

Oct 5, 2018 → Dec 3, 2019
Prudential Annuities Distributors, Inc
Dresher, PA · BC capacity

Jul 5, 2018 → Dec 3, 2019
Adp Broker-Dealer, Inc.
Roseland, NJ · BC capacity

May 8, 2017 → Jun 11, 2018
Highland Capital Funds Distributor, Inc.
Dallas, TX · BC capacity

Jan 22, 2014 → Apr 28, 2017
Nexbank Securities Inc
Dallas, TX · BC capacity

Feb 12, 2015 → Jun 8, 2016
Sei Investments Distribution Co.
Oaks, PA · BC capacity

Jun 29, 2011 → Feb 5, 2014

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 5919866 ↗ FINRA BrokerCheck record for CRD 5919866 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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