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RIA / WealthAdvisordual registered (broker-dealer)26 years in industry

BRIAN JAMES TESSMAN

Advisor at CHARLES SCHWAB & CO., INC.

Omaha, NE

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Search this name across graphsid dfx:ria:b8b0e97f-3d8f-26e9-7a00-21c47ca52e79

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 6:02 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Nov 27, 2006 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: Aug 1, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Nov 16, 2006
First registration: Nov 27, 2006
Dual registered: yes, broker-dealer
IAPD individual key: 5107772

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 26, 2022	n/a	yes	Omaha, NE	Current employment
TD AMERITRADE, INC.	Former SEC adviser	Jan 16, 2018	Jan 18, 2022	no	OMAHA, NE	Previous registration
SECURITIES AMERICA ADVISORS, INC.	Former SEC adviser	Aug 31, 2015	Jan 17, 2017	no	LA VISTA, NE	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Nov 27, 2006	Dec 31, 2010	no	BELLEVUE, NE	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Nov 27, 2006	Jul 2, 2015	no	OMAHA, NE\|OMAHA, NE\|OMAHA, NE\|OMAHA, NE\|FORT WORTH, TX	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, INC.	CHARLES SCHWAB & CO., INC.	Jan 18, 2022	Jan 26, 2022	8	Channel change	Other
SECURITIES AMERICA ADVISORS, INC.	TD AMERITRADE, INC.	Jan 17, 2017	Jan 16, 2018	364	Firm change	Other
TD AMERITRADE, INC.	SECURITIES AMERICA ADVISORS, INC.	Jul 2, 2015	Aug 31, 2015	60	Firm change	Other
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	TD AMERITRADE, INC.	Dec 31, 2010	Nov 27, 2006	-1,495	Channel change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
7870:5393:NE:2022-01-17	Jan 18, 2022	Jan 26, 2022	OMAHA, NE	Firm change

Relationships

Registered with (4)

→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: current employment
Jan 26, 2022 to presentfactForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Jan 16, 2018 to Jan 18, 2022factForm ADV
→ SECURITIES AMERICA ADVISORS, INC.Registered adviserregistration: previous registration
Aug 31, 2015 to Jan 17, 2017factForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Nov 27, 2006 to Dec 31, 2010factForm ADV

Dated events

No dated event names this entity yet.