Steven BrakmanCRD Number: 3070076
Current Firm: Charles Schwab & Company, Inc.
Steven Brakman (CRD# 3070076) is an Investment Advisor Representative working at Charles Schwab & Company, Inc. in Franklin, TN and has over 18 years of experience in the finance industry.
Retirement Resources Management, LLC
Envision Wealth Planning
Raymond James Financial Services Advisors, Inc.
|Charles Schwab Bank||Franklin, TN||Feb 2005 - Current||12|
|Charles Schwab & Company, Inc.||Franklin, TN||Aug 1999 - Current||17|
|Exam Code||Name||Passed Date|
|S66||NASAA Uniform Combined State Law Examination||Dec 2013|
|S63||Uniform Securities State Law Examination||Jul 1998|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management0MILLIONS
Total Number of Accounts0ACCOUNTS
Average Account Value$0
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Selection of other advisers (including private fund managers)
AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV