Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
Tatiana NIKOLAYEVNA Brownell
TATIANA N SCHMERER, TATIANA NIKOLAYEVNA SCHMERER, TATIANA SHLOTOVA, SHLOTOVA
CRD#: 5038193
IA
Investment Adviser
B
Broker
SCHWAB WEALTH ADVISORY, INC.CRD#: 159035 2423 E. LINCOLN DRIVE
PHOENIX, AZ 85016-1215
CHARLES SCHWAB & CO., INC.CRD#: 5393 2423 E Lincoln Dr
Phoenix, AZ 85016-1215
Registration History
20062008201020122014201620182020202220242026IASCHWAB WEALTH ADVISORY, INC. (CRD# 159035)2016 - Present (8 years)BCHARLES SCHWAB & CO., INC. (CRD# 5393)2009 - Present (16 years)BGENEOS WEALTH MANAGEMENT, INC. (CRD# 120894)2008 - 2008 (<1 year)BSECURITIES AMERICA, INC. (CRD# 10205)2007 - 2007 (<1 year)BVANGUARD MARKETING CORPORATION (CRD# 7452)2005 - 2005 (<1 year)IACHARLES SCHWAB & CO., INC. (CRD# 5393)2015 - 2016 (<1 year)
License(s)

State Registrations

B
Alaska 4/4/2011
B
New Hampshire 4/4/2011
B
Arizona 2/24/2009
B
New Jersey 6/1/2009
IA
Arizona 4/20/2016
B
New Mexico 2/9/2011
B
California 6/1/2009
B
New York 4/4/2011
B
Colorado 2/9/2011
B
North Carolina 2/9/2011
B
Connecticut 2/9/2011
B
North Dakota 4/4/2011
B
Florida 6/1/2009
B
Ohio 6/1/2009
B
Georgia 2/9/2011
B
Oregon 1/4/2010
B
Idaho 1/4/2010
B
Pennsylvania 3/7/2024
B
Illinois 4/4/2011
B
Tennessee 4/4/2011
B
Iowa 4/4/2011
B
Texas 2/9/2011
B
Louisiana 2/9/2011
IA
Texas 1/11/2021
B
Maryland 4/4/2011
B
Utah 1/4/2010
B
Massachusetts 1/4/2010
B
Virginia 4/4/2011
B
Michigan 1/4/2010
B
Washington 4/4/2011
B
Montana 4/4/2011
B
Wisconsin 1/4/2010
B
Nevada 4/4/2011

SRO Registrations

B
 FINRA
B
 Nasdaq Stock Market

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
SCHWAB WEALTH ADVISORY, INC. (CRD#:159035)
2423 E. LINCOLN DRIVE, PHOENIX, AZ 85016-1215
Registered with this firm since 4/20/2016
B
CHARLES SCHWAB & CO., INC. (CRD#:5393)
2423 E Lincoln Dr, Phoenix, AZ 85016-1215
Registered with this firm since 2/24/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 09/24/2015 - 04/21/2016 CHARLES SCHWAB & CO., INC. (CRD#:5393) PHOENIX, AZ
B
 01/09/2008 - 11/10/2008 GENEOS WEALTH MANAGEMENT, INC. (CRD#:120894) PHOENIX, AZ
B
 11/08/2007 - 12/31/2007 SECURITIES AMERICA, INC. (CRD#:10205) PHOENIX, AZ
B
 10/25/2005 - 12/08/2005 VANGUARD MARKETING CORPORATION (CRD#:7452) MALVERN, PA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.