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John M Brodie

Charles Schwab & CO., Inc.

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About John M Brodie

John Brodie is a registered investment advisor with Charles Schwab & Co., Inc. John has been in the industry since 1994 and has experience with a variety of firms, including TD Ameritrade, Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Ameriprise Financial Services, Inc. John currently holds active registrations in Maryland and Virginia. John is a Series 65, Series 63, Series 10, Series 9, SIE, and Series 7 holder.

Firm Information

John Brodie 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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John Brodie’s Registration & Firm History

MD

08/04/2022 - Present

Charles Schwab & CO., Inc. (Bethesda MD)

MD

01/14/2023 - 12/31/2023

TD AMERITRADE, INC. (Bethesda MD)

MD

05/04/2012 - 07/19/2022

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (BETHESDA MD)

MD

11/18/2009 - 04/25/2012

FSC SECURITIES CORPORATION (ROCKVILLE MD)

MD

10/05/2009 - 10/21/2009

AMERIPRISE FINANCIAL SERVICES, INC. (ROCKVILLE MD)

MD

12/20/2007 - 10/05/2009

AMERIPRISE ADVISOR SERVICES, INC. (ROCKVILLE MD)

MD

06/17/2005 - 12/21/2007

WACHOVIA SECURITIES, LLC (BETHESDA MD)

NY

08/29/2002 - 05/25/2005

CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)

GA

05/26/2000 - 08/20/2002

SUNTRUST SECURITIES, INC. (ATLANTA GA)

VA

03/05/1999 - 05/26/2000

CRESTAR SECURITIES CORPORATION (RICHMOND VA)

NY

02/01/1996 - 03/04/1999

CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)

VA

12/13/1994 - 01/11/1996

CRESTAR SECURITIES CORPORATION (RICHMOND VA)

NY

03/04/1994 - 11/17/1994

CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)

NJ

03/04/1994 - 04/21/1994

PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)

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Licenses & Designations

IA

Issued 01/29/2003

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 03/24/1994

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/12/2015

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 10/28/2014

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/21/1993

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There is public disclosure for John M Brodie. Review regulatory record here.
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