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Detailed Report
Andrea Jean Brotzel
ANDREA JEAN MATTSON, ANDREA JEAN RUTTEN
CRD#: 5522880
IA
Investment Adviser
B
Broker
CHARLES SCHWAB & CO., INC.CRD#: 5393 6996 France Avenue South
Suite 100
Edina, MN 55435
Registration History
20082010201220142016201820202022202420262 FIRMS2013 - Present (12 years)BMORGAN STANLEY (CRD# 149777)2010 - 2013 (2 years)BCHARLES SCHWAB & CO., INC. (CRD# 5393)2008 - 2010 (2 years)IAMORGAN STANLEY (CRD# 149777)2011 - 2013 (2 years)
License(s)

State Registrations

B
Arizona 3/11/2013
B
Minnesota 3/11/2013
B
California 3/11/2013
IA
Minnesota 1/7/2014
B
Colorado 12/3/2013
B
Nevada 7/28/2021
B
District of Columbia 9/19/2024
B
New York 5/26/2020
B
Florida 3/11/2013
B
North Dakota 3/11/2013
B
Illinois 9/7/2016
B
Oregon 11/5/2020
B
Indiana 11/5/2020
B
South Dakota 4/19/2022
B
Iowa 1/5/2015
B
Texas 1/5/2015
B
Kansas 3/26/2024
IA
Texas 1/2/2019
B
Massachusetts 5/31/2023
B
Wisconsin 3/11/2013

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
CHARLES SCHWAB & CO., INC. (CRD#:5393)
6996 France Avenue South Suite 100, Edina, MN 55435
Registered with this firm since 3/12/2013
B
CHARLES SCHWAB & CO., INC. (CRD#:5393)
6996 France Avenue South Suite 100, Edina, MN 55435
Registered with this firm since 3/11/2013
Previous Registration(s)
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IA
 01/13/2011 - 03/19/2013 MORGAN STANLEY (CRD#:149777) ROCHESTER, MN
B
 10/13/2010 - 03/19/2013 MORGAN STANLEY (CRD#:149777) ROCHESTER, MN
B
 09/16/2008 - 09/13/2010 CHARLES SCHWAB & CO., INC. (CRD#:5393) PHOENIX, AZ
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.