Kimberly A Swanson

CRD 1755443 · Charles Schwab & Co., Inc. · Walnut Creek, CA

IA RegisteredBroker

Also appears in the source record as: Kimberly Ann Calhoun; Kim Swanson; Kimberly Ann Swanson

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (7): SIESeries 7Series 9Series 10Series 24Series 65Series 63
Registered states (18): California · Colorado · Hawaii · Idaho · Illinois · Iowa · Massachusetts · Michigan · Missouri · Montana · Nevada · New Mexico · New York · Oregon · Pennsylvania · Texas · Utah · Washington
Years in the industry (source record): 22
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Charles Schwab & Co., Inc.
Firm CRD: 5393
SEC number: 801-29938
Assets under management: Not yet retrieved from the source record
Website: www.linkedin.com/COMPANY/SCHWAB-ADVISOR-SERVICES ↗
Phone: 415-667-7000
Firm location: San Francisco, CA, 94105

Employment history (13)

From the source registration record · current first

Charles Schwab & Co., Inc.Current
Walnut Creek, CA · BC capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
Walnut Creek, CA · IA capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
Walnut Creek, CA · IA capacity

start not retrieved → present
Raymond James & Associates, Inc.
San Francisco, CA · IA capacity

Sep 6, 2016 → Nov 3, 2017
Raymond James & Associates, Inc.
San Francisco, CA · BC capacity

Sep 6, 2016 → Nov 3, 2017
Deutsche Bank Securities Inc.
San Francisco, CA · IA capacity

Sep 19, 2014 → Sep 6, 2016
Deutsche Bank Securities Inc.
San Francisco, CA · BC capacity

Sep 19, 2014 → Sep 6, 2016
Axa Advisors, LLC
San Francisco, CA · IA capacity

Jan 14, 2013 → Aug 13, 2014
Axa Advisors, LLC
San Francisco, CA · BC capacity

Sep 24, 2012 → Aug 13, 2014
Progressive Asset Management, Inc.
San Rafael, CA · BC capacity

Mar 1, 1995 → Jul 10, 1997
Alex. Brown & Sons Incorporated
BC capacity

Mar 10, 1989 → Sep 13, 1994
Janney Montgomery Scott Inc.
Philadelphia, PA · BC capacity

Feb 1, 1988 → Mar 18, 1989
The Stuart-James Company, Inc.
BC capacity

Oct 20, 1987 → Jan 28, 1988

Source & corrections

Where this page comes from

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