Brian J. Fuchs
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.
Brian Joseph Fuchs, who also goes by Brian Joseph Fuchs, Brian J. Fuchs, Brian Fuchs, was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 2007. Brian had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 16, 2022 - December 9, 2024
CHARLES SCHWAB & CO., INC.
September 1, 2022 - December 9, 2024
CHARLES SCHWAB & CO., INC.
August 20, 2021 - February 16, 2022
FISHER INVESTMENTS
July 26, 2017 - August 3, 2021
J.P. MORGAN SECURITIES LLC
July 18, 2017 - August 3, 2021
J.P. MORGAN SECURITIES LLC
March 8, 2017 - July 12, 2017
PNC WEALTH MANAGEMENT LLC
March 7, 2017 - July 12, 2017
PNC WEALTH MANAGEMENT LLC
July 10, 2015 - February 14, 2017
WELLS FARGO CLEARING SERVICES, LLC
July 9, 2015 - February 14, 2017
WELLS FARGO CLEARING SERVICES, LLC
December 5, 2013 - July 9, 2015
PNC WEALTH MANAGEMENT LLC
December 3, 2013 - July 9, 2015
PNC WEALTH MANAGEMENT LLC
November 5, 2012 - December 4, 2013
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
October 10, 2011 - November 8, 2012
FIFTH THIRD SECURITIES, INC.
September 26, 2011 - November 8, 2012
FIFTH THIRD SECURITIES, INC.
September 4, 2009 - June 28, 2011
MORGAN STANLEY
September 1, 2009 - June 28, 2011
MORGAN STANLEY
October 2, 2008 - September 4, 2009
WELLS FARGO CLEARING SERVICES, LLC
January 30, 2007 - September 4, 2009
WELLS FARGO CLEARING SERVICES, LLC
Primary Firm SEC Registration
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
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
Current Firm
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHWAB HOLDINGS, INC. | 100% OWNER | |
| BEATTY, JONATHAN SCOTT | DIRECTOR, MANAGING DIRECTOR AND HEAD OF ADVISOR SERVICES | 2429276 |
| CRAIG, JONATHAN M | PRESIDENT, DIRECTOR, MANAGING DIRECTOR AND HEAD OF INVESTOR SERVICES AND MARKETING | 4144656 |
| HATHI, NEESHA K | MANAGING DIRECTOR HEAD OF WEALTH & ADVICE SOLUTIONS | 2648997 |
| HOWARD, DENNIS WILLARD | MANAGING DIRECTOR AND CHIEF INFORMATION OFFICER | 6403083 |
| NICHOLS, CHARLES | MANAGING DIRECTOR AND BROKER DEALER & INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER | 4811434 |
| STARR, JEFFREY HAROLD | MANAGING DIRECTOR, AND OPERATIONAL SERVICES AND PRINCIPAL OPERATIONS OFFICER | 4700461 |
| VERDESCHI, MICHAEL DANIEL | MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 4570777 |
Disclosures
| Regulatory Event | 58 |
| Civil Event | 3 |
| Arbitration | 248 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/24/2025 | ||
| 01/19/2024 | ||
| 04/14/2023 |
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.
