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Brad Lewis Heaps

Charles Schwab & CO., Inc.

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About Brad Lewis Heaps

Brad Lewis Heaps is an investment advisor representative with Charles Schwab & CO., Inc. Brad has been in the securities industry since March 2006. Brad is registered in 24 states and has passed the Series 31, 7, 9, 10, and 66 exams. Brad holds a Series 66 registration in Texas and California. Brad is a specialist in financial planning and has experience working with individuals and other investment advisors. Brad has previously worked at UBS Financial Services Inc..

Firm Information

Brad Heaps is currently registered with Charles Schwab & CO., Inc.. Charles Schwab & CO., Inc. is a Corporation formed in April 1971, headquartered in San Francisco, California. The firm offers a range of advisory services including financial planning, selection of other advisors, and wrap fee programs. They have a broad client base including individuals, corporations, and other institutions. The firm manages over $50 billion in assets and operates in all 50 states and territories.
Charles Schwab & CO., Inc.

211 MAIN STREET

SAN FRANCISCO, CA 94105

Not reported

Assets Under Management

919,128

Total Clients

10,627

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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wrap fee program sponsor and financial planning advisor referral program

Wrap fee program sponsor and financial planning advisor referral program

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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other

Asset based fees for wrap pgrms & subsc pricing for fin planning

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Brad Heaps’s Registration & Firm History

CA

01/02/2019 - Present

Charles Schwab & CO., Inc. (Roseville CA)

NJ

01/28/2005 - 01/18/2006

UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)

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Licenses & Designations

BOTH

Issued 02/07/2005

Series 66 - Uniform Combined State Law Examination

BC

Issued 09/06/2012

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 09/06/2012

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/24/2005

Series 31 - Futures Managed Funds Examination

BC

Issued 01/27/2005

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Brad Lewis Heaps.
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