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Detailed Report
BRETT THEODORE GRAU
BRETT T GRAN, BRETT T GRAU
CRD#: 5515351
IA
Investment Adviser
B
Broker
SCHWAB WEALTH ADVISORY, INC.CRD#: 159035 9800 Schwab Way
Lone Tree, CO 80124
CHARLES SCHWAB & CO., INC.CRD#: 5393 9800 Schwab Way
Lone Tree, CO 80124
Registration History
20082010201220142016201820202022202420262 FIRMS2011 - 2013 (2 years)IASCHWAB WEALTH ADVISORY, INC. (CRD# 159035)2022 - Present (2 years)BCHARLES SCHWAB & CO., INC. (CRD# 5393)2013 - Present (11 years)BASSENT LLC (CRD# 104162)2008 - 2010 (1 year)IACHARLES SCHWAB & CO., INC. (CRD# 5393)2021 - 2022 (<1 year)IASCHWAB PRIVATE CLIENT INVESTME... (CRD# 159035)2016 - 2021 (5 years)IACHARLES SCHWAB & CO., INC. (CRD# 5393)2013 - 2016 (2 years)IAPERSONAL CAPITAL ADVISORS CORP... (CRD# 155172)2013 - 2013 (<1 year)
License(s)

State Registrations

B
Alaska 12/19/2013
B
Minnesota 12/19/2013
B
Arizona 12/19/2013
B
Mississippi 12/19/2013
B
Arkansas 12/19/2013
B
Missouri 12/19/2013
B
California 12/19/2013
B
Nebraska 12/19/2013
B
Colorado 12/19/2013
B
New Jersey 12/19/2013
IA
Colorado 4/13/2022
B
New Mexico 12/19/2013
B
Connecticut 12/19/2013
B
New York 12/19/2013
B
Delaware 12/19/2013
B
North Carolina 12/20/2013
B
Florida 12/19/2013
B
Ohio 12/20/2013
B
Georgia 12/19/2013
B
Oklahoma 12/19/2013
B
Hawaii 12/19/2013
B
Oregon 12/19/2013
B
Idaho 12/19/2013
B
Pennsylvania 12/19/2013
B
Illinois 12/19/2013
B
Tennessee 12/19/2013
B
Iowa 12/19/2013
B
Texas 12/19/2013
B
Kansas 12/19/2013
IA
Texas 4/14/2022
B
Louisiana 12/19/2013
B
Utah 12/19/2013
B
Massachusetts 12/19/2013
B
Washington 12/19/2013
B
Michigan 12/19/2013
B
Wisconsin 12/19/2013

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)
9800 Schwab Way, Lone Tree, CO 80124
Registered with this firm since 4/13/2022
B
CHARLES SCHWAB & CO., INC. (CRD#:5393)
9800 Schwab Way, Lone Tree, CO 80124
Registered with this firm since 12/19/2013
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 11/15/2021 - 04/13/2022 CHARLES SCHWAB & CO., INC. (CRD#:5393) Denver, CO
IA
 10/13/2016 - 12/31/2021 SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. (CRD#:159035) Lone Tree, CO
IA
 12/19/2013 - 10/13/2016 CHARLES SCHWAB & CO., INC. (CRD#:5393) Denver, CO
IA
 10/17/2013 - 12/10/2013 PERSONAL CAPITAL ADVISORS CORPORATION (CRD#:155172) DENVER, CO
IA
 12/02/2011 - 08/13/2013 CHARLES SCHWAB & CO., INC. (CRD#:5393) ENGLEWOOD, CO
B
 01/25/2011 - 08/13/2013 CHARLES SCHWAB & CO., INC. (CRD#:5393) ENGLEWOOD, CO
B
 09/11/2008 - 06/23/2010 ASSENT LLC (CRD#:104162) FORT LAUDERDALE, FL
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.