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Bruce Daniel Broughton

Charles Schwab & CO., Inc.

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About Bruce Daniel Broughton

Bruce Daniel Broughton is a registered representative at Charles Schwab & CO., Inc. with over 28 years of experience in the securities industry. Bruce has a broad range of experience, having previously worked at TD AMERITRADE, INC. He currently holds a Series 66 license, as well as a Series 7, 8, 9, 10, and SIE licenses. Bruce is licensed to operate in 22 states and Washington, D.C. Bruce is dedicated to providing his clients with personalized financial advice and guidance.

Firm Information

Bruce Broughton 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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Bruce Broughton’s Registration & Firm History

WA

01/26/2022 - Present

Charles Schwab & CO., Inc. (Bellevue WA)

WA

11/03/1995 - 05/19/2024

TD AMERITRADE, INC. (Bellevue WA)

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Licenses & Designations

BOTH

Issued 06/20/2003

Series 66 - Uniform Combined State Law Examination

BC

Issued 11/10/1995

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 01/02/2023

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 08/17/1998

Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/02/1995

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There is public disclosure for Bruce Daniel Broughton. Review regulatory record here.
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