Bret A. Adkins
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Bret Arlen Adkins, who also goes by Brett A Adkins, Brett Arlen Adkins, Bret Adkins, was a registered financial professional .
Bret is a previously registered financial professional and started their career in finance in 1985. Bret had worked at 2 firms and has passed the Series 63, SIE, Series 7, Series 9, Series 10 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 11, 2023 - June 16, 2024
TD AMERITRADE, INC.
July 7, 2023 - June 16, 2024
CHARLES SCHWAB & CO., INC.
June 18, 2023 - June 16, 2024
CHARLES SCHWAB & CO., INC.
November 4, 1994 - April 21, 2022
CHARLES SCHWAB & CO., INC.
September 25, 1985 - April 21, 2022
CHARLES SCHWAB & CO., INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 9/28/1987
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
