Beverly A. Brodie
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.
Beverly Anita Brodie, CFP®, who also goes by Beverly Sluss Osborne, Beverly Anita Sluss, Beverly S. Sluss, was a registered financial professional .
Beverly is a previously registered financial professional and started their career in finance in 1989. Beverly had worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10, Series 9 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
March 14, 2012 - February 17, 2026
SCHWAB WEALTH ADVISORY, INC.
January 26, 2012 - March 23, 2012
CHARLES SCHWAB & CO., INC.
November 7, 2007 - December 31, 2011
CHARLES SCHWAB & CO., INC.
June 8, 2004 - February 17, 2026
CHARLES SCHWAB & CO., INC.
January 28, 1997 - January 22, 2003
CHARLES SCHWAB & CO., INC.
April 19, 1994 - March 16, 1995
FIRST UNION BROKERAGE SERVICES, INC.
May 16, 1989 - April 12, 1994
CHARLES SCHWAB & CO., INC.
February 14, 1989 - April 15, 1989
THE STUART-JAMES COMPANY, INCORPORATED
Primary Firm SEC Registration
SCHWAB WEALTH ADVISORY, INC.
CRD#: 159035 / SEC#: 801-72795
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: 7/20/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SCHWAB WEALTH ADVISORY, INC.
CRD#: 159035 / SEC#: 801-72795
Contact information
SEC notice filing (53 States and Territories)
Red Flags
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