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Brian J Cook

Charles Schwab & CO., Inc.

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About Brian J Cook

Brian Cook is a financial advisor who is actively registered with the BrokerCheck system. Brian is a registered representative with Charles Schwab & Co., Inc. and has been in the financial industry since 2007. Brian has a background in investment advising and has passed numerous industry exams, including the Series 7, Series 10, Series 9, Series 24, Series 66, and Series 63 exams. Brian holds active licenses in Nevada and Texas.

Firm Information

Brian Cook 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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Brian Cook’s Registration & Firm History

TX

02/18/2020 - Present

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

AZ

01/17/2012 - 03/14/2017

CHARLES SCHWAB & CO., INC. (PHOENIX AZ)

IL

09/26/2007 - 03/28/2011

CHARLES SCHWAB & CO., INC. (CHICAGO IL)

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Licenses & Designations

BC

Issued 08/10/2020

Series 63 - Uniform Securities Agent State Law Examination

BOTH

Issued 09/28/2007

Series 66 - Uniform Combined State Law Examination

BC

Issued 09/08/2020

Series 24 - General Securities Principal Examination

BC

Issued 06/18/2008

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 05/16/2008

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 03/14/2017

SIE - Securities Industry Essentials Examination

BC

Issued 09/24/2007

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 Brian J Cook.
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