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RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

CHAD BROWN

Advisor at CHARLES SCHWAB & CO., INC.

Hartsdale, NY | Chicago, IL

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Search this name across graphsid dfx:ria:9ec67d66-9c23-c2d3-f7ae-0bb7fbac3594

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:39 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Mar 29, 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: Mar 22, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66|S63
First exam: Mar 22, 2001
First registration: Mar 29, 2017
Dual registered: yes, broker-dealer
Other names: Chad Turner Brown
IAPD individual key: 4307648

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	Jan 16, 2025	n/a	yes	Chicago, IL\|Hartsdale, NY	Current employment
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Dec 6, 2017	Sep 7, 2023	no	Jersey City, NJ	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Dec 6, 2017	Oct 14, 2022	no	JERSEY CITY, NJ\|Hartsdale, NY\|Omaha, NE	Previous registration
SCOTTRADE INVESTMENT MANAGEMENT	Former SEC adviser	Mar 29, 2017	Dec 5, 2017	no	SAINT LOUIS, MO	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
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	CHARLES SCHWAB & CO., INC.	Sep 7, 2023	Jan 16, 2025	497	Bulk transfer	RIA to ibd
TD AMERITRADE, INC.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Oct 14, 2022	Dec 6, 2017	-1,773	Bulk transfer	Other
SCOTTRADE INVESTMENT MANAGEMENT	TD AMERITRADE, INC.	Dec 5, 2017	Dec 6, 2017	1	Channel change	Other

Relationships

Registered with (4)

→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: current employment
Jan 16, 2025 to presentfactForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Dec 6, 2017 to Sep 7, 2023factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Dec 6, 2017 to Oct 14, 2022factForm ADV
→ SCOTTRADE INVESTMENT MANAGEMENTRegistered adviserregistration: previous registration
Mar 29, 2017 to Dec 5, 2017factForm ADV

Dated events

No dated event names this entity yet.