Kathy Ann Borkovec

CRD 1867575 · Charles Schwab & Co., Inc. · Northbrook, IL

IA RegisteredBroker

Also appears in the source record as: Kathy Ann Berry; Kathy Ann Wallenfang

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (6): SIESeries 7Series 6Series 26Series 66Series 63
Registered states (28): Arizona · California · Colorado · Florida · Georgia · Illinois · Indiana · Kentucky · Maryland · Massachusetts · Michigan · Minnesota · Missouri · Montana · Nevada · New Jersey · New Mexico · New York · North Carolina · Ohio · South Carolina · Tennessee · Texas · Utah · Virginia · Washington · Wisconsin · Wyoming
Years in the industry (source record): 35
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 1867575 contains one or more disclosure events as of Aug 20, 2026.

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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 (12)

From the source registration record · current first

Charles Schwab & Co., Inc.Current
Northbrook, IL · IA capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
Northbrook, IL · BC capacity

start not retrieved → present
Vision Investment Services, Inc.
Rosemont, IL · BC capacity

Oct 29, 2003 → Dec 16, 2005
Fifth Third Securities, Inc.
Cincinnati, OH · BC capacity

May 2, 2001 → Oct 3, 2003
Old Kent Financial Advisors
Grand Rapids, MI · BC capacity

Dec 9, 1999 → May 2, 2001
Abn Amro Investment Services, Inc.
Chicago, IL · BC capacity

Mar 16, 1999 → Dec 6, 1999
Cuna Brokerage Services, Inc.
Waverly, IA · BC capacity

Mar 24, 1998 → Mar 18, 1999
Norwest Investment Services, Inc.
Minneapolis, MN · BC capacity

Sep 26, 1997 → Mar 13, 1998
Invest Financial Corporation
Appleton, WI · BC capacity

Feb 2, 1996 → Jun 26, 1997
Citicorp Investment Services
Long Island City, NY · BC capacity

Sep 12, 1995 → Feb 5, 1996
Essex National Securities, Inc.
Napa, CA · BC capacity

Jan 14, 1994 → Aug 24, 1995
Marketing One Securities, Inc.
Portland, OR · BC capacity

Aug 24, 1988 → Sep 28, 1990

Source & corrections

Where this page comes from

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