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Brent Gregory Rattin

Brent G. Rattin

SCHWAB WEALTH ADVISORY
Indianapolis, IN 46240-2482
Some features on this profile are disabled
CRD#: 2829268
Brent Gregory Rattin

Professional summary

Brent Gregory Rattin, CFP®, who also goes by Brent G Rattin, Brent Rattin, is a registered financial advisor currently at SCHWAB WEALTH ADVISORY, INC. located in Indianapolis, Indiana and CHARLES SCHWAB & CO., INC. located in Indianapolis, Indiana.

Brent is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Brent has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Brent G Rattin | Brent Rattin

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brent Gregory Rattin's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®

Certified Financial Planner

Start date: 2019

Experience

Current

August 9, 2021 - Present

SCHWAB WEALTH ADVISORY, INC.

Office #1: 8332 Woodfield Crossing Blvd, Indianapolis, IN 46240-2482
RIA
CRD#: 159035
Indianapolis, IN
Current

August 9, 2021 - Present

CHARLES SCHWAB & CO., INC.

Office #1: 8332 Woodfield Crossing Blvd, Indianapolis, IN 46240-2482
RIA
BD
CRD#: 5393
Indianapolis, IN
Past

July 24, 2018 - April 22, 2020

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
INDIANAPOLIS, IN
Past

July 24, 2018 - April 22, 2020

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
INDIANAPOLIS, IN
Past

November 3, 2015 - July 18, 2018

SCHWAB WEALTH ADVISORY, INC.

RIA
CRD#: 159035
Indianapolis, IN
Past

January 3, 2012 - November 3, 2015

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
Indianapolis, IN
Past

May 1, 2007 - December 31, 2011

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
Indianapolis, IN
Past

June 26, 2000 - July 18, 2018

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
Indianapolis, IN
Past

January 31, 1997 - February 19, 1997

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

BD
CRD#: 4039
NEW YORK, NY
Past

January 31, 1997 - February 19, 1997

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SW
SCHWAB WEALTH ADVISORY, INC.
SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. | SCHWAB WEALTH ADVISORY, INC.

CRD#: 159035 / SEC#: 801-72795

RIA
Registered Investment Advisory firm - (12/9/2011 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(8/9/2021)
RR
Alaska
(12/6/2023)
RR
Arizona
(9/29/2021)
RR
California
(2/7/2024)
RR
Colorado
(1/2/2022)
RR
Connecticut
(2/7/2024)
RR
Florida
(9/29/2021)
RR
Georgia
(8/9/2021)
RR
Illinois
(9/29/2021)
RR
Indiana
(8/9/2021)
IAR
Indiana
(8/9/2021)
RR
Iowa
(2/7/2024)
RR
Kentucky
(5/13/2022)
RR
Louisiana
(8/9/2021)
RR
Massachusetts
(3/9/2022)
RR
Michigan
(6/30/2022)
RR
Minnesota
(9/29/2021)
RR
Mississippi
(3/3/2023)
RR
New Jersey
(2/7/2024)
RR
New Mexico
(3/26/2025)
RR
New York
(11/8/2021)
RR
North Carolina
(11/7/2021)
RR
Ohio
(10/27/2021)
RR
Oregon
(11/14/2024)
RR
Pennsylvania
(1/2/2025)
RR
South Carolina
(4/11/2022)
RR
Tennessee
(7/1/2022)
RR
Texas
(9/29/2021)
RR
Utah
(9/29/2021)
RR
Virginia
(9/29/2021)
RR
Washington
(2/7/2024)
RR
Wisconsin
(2/7/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/27/2007
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 7/12/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/22/2000
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 1/30/1997
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/3/2005
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 7/30/2004
General Securities Sales Supervisor - Options Module Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

SW
SCHWAB WEALTH ADVISORY, INC.
SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. | SCHWAB WEALTH ADVISORY, INC.

CRD#: 159035 / SEC#: 801-72795

RIA
Registered Investment Advisory firm - (12/9/2011 Approved)
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Contact information

Main Address
211 Main Street, San Francisco, CA 94105-1901
Mailing Address
Phone number
(415) 667-7000
Established
Firm type
Fiscal year end
# of Employees
1,042

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

SCHWAB WEALTH ADVISORY, INC. DISCLOSURE BROCHURE (9/23/2025)

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.

Company Information

SCHWAB WEALTH ADVISORY, INC.

CRD#: 159035Indianapolis, IN 46240-2482

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