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Nicholas James Broetzman

Schwab Wealth Advisory, Inc.

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About Nicholas James Broetzman

Nicholas Broetzman is a financial advisor with over 7 years of experience in the financial services industry. Nicholas is registered with Schwab Wealth Advisory, Inc. and has been with the firm since August 2020. Nicholas holds the Series 7, 9, 10, 24, 63 and 66 licenses, along with the SIE designation. Nicholas is also a Certified Financial Planner. Nicholas is registered to provide investment advisory services in 53 states and the District of Columbia. Nicholas's primary focus is on financial planning and portfolio management for individuals and businesses.

Firm Information

Nicholas Broetzman is currently registered with Schwab Wealth Advisory, Inc.. Schwab Wealth Advisory, Inc. is an investment advisory firm based in SAN FRANCISCO, CA, United States. The firm provides financial planning and portfolio management services to individuals, businesses, and high-net-worth individuals. They also offer a wrap fee program.
Schwab Wealth Advisory, Inc.

211 MAIN STREET

SAN FRANCISCO, CA 94105-1901

Not reported

Assets Under Management

141,801

Total Clients

904

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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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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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other

Swa program paid by wrap sponsor pursuant to cost plan formula.

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Nicholas Broetzman’s Registration & Firm History

CO

09/02/2020 - Present

Schwab Wealth Advisory, Inc. (Lone Tree CO)

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Licenses & Designations

BOTH

Issued 06/16/2017

Series 66 - Uniform Combined State Law Examination

BC

Issued 06/05/2015

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/25/2018

Series 24 - General Securities Principal Examination

BC

Issued 11/02/2015

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 10/03/2015

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/01/2015

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 Nicholas James Broetzman.
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