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Brett James Holley

Charles Schwab & CO., Inc.

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About Brett James Holley

Brett Holley is a financial advisor at Charles Schwab & CO., Inc. Brett Holley has been a registered representative since January 16, 2008, and an investment advisor representative since January 26, 2022. Brett Holley has been active in the industry since January 27, 2008. Prior to joining Charles Schwab & CO., Inc., Brett Holley worked at TD AMERITRADE, INC. and SCOTTTRADE, INC. Brett Holley has experience in providing financial planning advice and portfolio management services. Brett Holley is also a board member of the Penfield Public Library.

Firm Information

Brett Holley 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 Holley’s Registration & Firm History

NY

01/26/2022 - Present

Charles Schwab & CO., Inc. (Pittsford NY)

NY

02/26/2018 - 07/29/2024

TD AMERITRADE, INC. (Pittsford NY)

NY

02/11/2014 - 02/26/2018

SCOTTRADE, INC. (ROCHESTER NY)

NY

01/17/2008 - 01/30/2014

AMERIPRISE FINANCIAL SERVICES, INC. (ROCHESTER NY)

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Licenses & Designations

BOTH

Issued 10/17/2007

Series 66 - Uniform Combined State Law Examination

BC

Issued 08/20/2014

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 04/09/2014

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/16/2008

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 Brett James Holley.
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