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Brian Sognefest

Charles Schwab & CO., Inc.

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About Brian Sognefest

Brian Sognefest is a financial advisor with over 25 years of experience in the industry. Brian is currently registered with Charles Schwab & CO., Inc. Brian holds several licenses and certifications, including Series 4, Series 7, Series 63, and Series 66. Brian has previously worked for ROTH CAPITAL PARTNERS, LLC, DIGITALOFFERING, INC., and FRIEDMAN, BILLINGS, RAMSEY & CO., INC. Brian provides financial advice to individuals, corporations and businesses, and insurance companies. Brian specializes in financial planning, selection of other advisors, and wrap fee programs.

Firm Information

Brian Sognefest 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 Sognefest’s Registration & Firm History

CA

09/17/2021 - Present

Charles Schwab & CO., Inc. (Mission Viejo CA)

CA

10/15/2001 - 08/23/2021

ROTH CAPITAL PARTNERS, LLC (NEWPORT BEACH CA)

WA

11/27/2000 - 09/28/2001

DIGITALOFFERING, INC. (SPOKANE WA)

CA

07/30/1996 - 11/08/1999

FRIEDMAN, BILLINGS, RAMSEY & CO., INC. (LOS ANGELES CA)

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Licenses & Designations

BOTH

Issued 08/20/2021

Series 66 - Uniform Combined State Law Examination

BC

Issued 08/05/1996

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/28/2001

Series 4 - Registered Options Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/29/1996

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 Sognefest.
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