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Brett Erving

Charles Schwab & CO., Inc.

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About Brett Erving

Brett Erving is a registered representative and investment advisor representative with Charles Schwab & CO., Inc. Brett has been in the financial services industry since 2009. Brett has a broad range of experience in financial planning, portfolio management and investment advisory services. Brett is also a licensed real estate investor and is a member of Alliance Property Investments LLC. Brett is committed to providing clients with personalized financial advice and helping them achieve their financial goals.

Firm Information

Brett Erving 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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Brett Erving’s Registration & Firm History

TX

07/24/2024 - Present

Charles Schwab & CO., Inc. (Westlake TX)

TX

01/09/2023 - 05/19/2024

TD AMERITRADE, INC. (Westlake TX)

CO

12/17/2020 - 12/17/2021

TRANSAMERICA CAPITAL, INC. (DENVER CO)

TX

10/04/2012 - 09/19/2019

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (LEWISVILLE TX)

TX

10/01/2012 - 10/02/2012

J.P. MORGAN SECURITIES LLC (GRAND PRAIRIE TX)

TX

05/24/2007 - 10/01/2012

CHASE INVESTMENT SERVICES CORP. (GRAND PRAIRIE TX)

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Licenses & Designations

BOTH

Issued 06/08/2023

Series 66 - Uniform Combined State Law Examination

BC

Issued 02/22/2023

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/31/2023

Series 7TO - General Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/22/2007

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Brett Erving.
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