Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brett? Claim Your ProfileBrett Alan Schroeder is a financial advisor at Stifel, Nicolaus & Company, Inc. Brett has been in the financial industry since 1992. Brett has a strong background in securities, investments and financial planning. Brett has extensive experience working with clients on a variety of financial needs, including retirement planning, college savings, and estate planning. Brett holds a Series 3, 7, 9, 10, 63 and SIE licenses. Brett is currently registered with the state of California and Texas. Brett is also a member of the Tulare Sunrise Rotary Club and serves on the board of the Turnberry Home Owners Association.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CA
04/29/2016 - Present
Stifel, Nicolaus & Company, Inc. (VISALIA CA)
CA
01/01/2008 - 05/05/2016
WELLS FARGO ADVISORS, LLC (VISALIA CA)
CA
03/30/1992 - 01/03/2008
A. G. EDWARDS & SONS, INC. (VISALIA CA)
BC
Issued 04/08/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/02/1997
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/26/1993
Series 3 - National Commodity Futures Examination
BC
Issued 03/27/1992
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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