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Brody Allen Northcott

Charles Schwab & CO., Inc.

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About Brody Allen Northcott

Brody Allen Northcott is a registered representative with Charles Schwab & CO., Inc. Brody has been in the securities industry since April 16, 2016. Brody currently works in Lone Tree, Colorado. Previously, Brody worked for Oppenheimer & Co. Inc. and Scottrade, Inc. Brody has passed the Series 63, 66, 7, 9, 10 and SIE exams. Brody is registered with the state of Colorado and is currently registered as an Investment Advisor Representative.

Firm Information

Brody Northcott 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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Brody Northcott’s Registration & Firm History

CO

04/03/2019 - Present

Charles Schwab & CO., Inc. (Lone Tree CO)

CO

03/28/2018 - 09/07/2018

OPPENHEIMER & CO. INC. (DENVER CO)

CO

09/03/2015 - 03/07/2018

SCOTTRADE, INC. (COLORADO SPRINGS CO)

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Licenses & Designations

BOTH

Issued 06/15/2017

Series 66 - Uniform Combined State Law Examination

BC

Issued 09/18/2015

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/29/2021

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 08/26/2021

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 09/07/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/03/2015

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 Brody Allen Northcott.
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