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RIA / WealthAdvisordual registered (broker-dealer)17 years in industry

CHARLES JACOB BRANDT

Advisor at CHARLES SCHWAB & CO., INC.

Omaha, NE

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Search this name across graphsid dfx:ria:80bced9e-4529-efd3-0625-d00d74f739ca

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:00 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jan 13, 2017 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CHARLES SCHWAB & CO., INC.
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 1, 2009earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 3
Exams: S66
First exam: Jan 13, 2017
First registration: Jan 13, 2017
Dual registered: yes, broker-dealer
Other names: CHARLES BRANDT|Charlie Brandt|CHARLES JACOB BRANDT|Charles J Brandt
IAPD individual key: 6720481

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CHARLES SCHWAB & CO., INC.	National bd RIA	May 31, 2019	n/a	yes	Omaha, NE	Current employment
BANCWEST INVESTMENT SERVICES, INC. (BWIS)	Former SEC adviser	Dec 20, 2017	May 28, 2019	no	OMAHA, NE\|HARLAN, IA\|OMAHA, NE\|LA VISTA, NE\|OMAHA, NE\|OMAHA, NE\|OMAHA, NE\|OMAHA, NE\|OMAHA, NE	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Jul 19, 2017	Dec 20, 2017	no	Omaha, NE	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Jul 19, 2017	Dec 20, 2017	no	Omaha, NE	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jan 13, 2017	Jul 13, 2017	no	OMAHA, NE\|OMAHA, NE	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
BANCWEST INVESTMENT SERVICES, INC. (BWIS)	CHARLES SCHWAB & CO., INC.	May 28, 2019	May 31, 2019	3	Firm change	Ibd to ibd
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	TD AMERITRADE, INC.	Dec 20, 2017	Jul 19, 2017	-154	Channel change	Other
TD AMERITRADE, INC.	BANCWEST INVESTMENT SERVICES, INC. (BWIS)	Dec 20, 2017	Dec 20, 2017	0	Firm change	Other
WELLS FARGO ADVISORS	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Jul 13, 2017	Jul 19, 2017	6	Firm change	Other

Relationships

Registered with (5)

→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: current employment
May 31, 2019 to presentfactForm ADV
→ BANCWEST INVESTMENT SERVICES, INC. (BWIS)Registered adviserregistration: previous registration
Dec 20, 2017 to May 28, 2019factForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jul 19, 2017 to Dec 20, 2017factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Jul 19, 2017 to Dec 20, 2017factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jan 13, 2017 to Jul 13, 2017factForm ADV

Dated events

No dated event names this entity yet.