William Knowis Kaiser

CRD 2197075 · Charles Schwab & Co., Inc. · Westlake, TX

IA RegisteredBroker

Also appears in the source record as: Bill Kaiser; William K Kaiser

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): Series 7TOSeries 7Series 63Series 65
Registered states (24): Alaska · Arizona · California · Connecticut · District Of Columbia · Florida · Hawaii · Iowa · Kansas · Massachusetts · Missouri · Montana · Nevada · New York · Ohio · Oregon · Pennsylvania · Puerto Rico · Tennessee · Texas · Utah · Virginia · Washington · Wyoming
Years in the industry (source record): 29
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 (18)

From the source registration record · current first

Charles Schwab & Co., Inc.Current
Westlake, TX · BC capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
Westlake, TX · IA capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
Westlake, TX · IA capacity

start not retrieved → present
Bland Garvey Wealth Advisors, LLC
Richardson, TX · IA capacity

Jan 19, 2012 → Jul 12, 2021
Legacytexas Wealth Advisors, LLC
Plano, TX · IA capacity

Jun 24, 2011 → Nov 23, 2011
Advanced Equities, Inc.
San Francisco, CA · IA capacity

Feb 16, 2011 → Jun 10, 2011
Advanced Equities, Inc.
San Francisco, CA · BC capacity

Feb 16, 2011 → Jun 10, 2011
Hennion & Walsh Asset Management, Inc.
Parsippany, NJ · IA capacity

Oct 15, 2009 → Dec 14, 2009
Hennion & Walsh, Inc.
Parsippany, NJ · BC capacity

Oct 15, 2009 → Dec 14, 2009
Morgan Keegan & Company, Inc.
Dallas, TX · BC capacity

Jun 5, 2009 → Aug 25, 2009
Morgan Keegan & Company, Inc.
Dallas, TX · IA capacity

May 6, 2009 → Aug 25, 2009
Fisher Investments
Plano, TX · IA capacity

Jul 16, 2003 → May 11, 2009
Howard Financial Services, Ltd.
Dallas, TX · IA capacity

May 29, 2002 → Nov 30, 2007
Sws Securities Inc.
Dallas, TX · BC capacity

May 17, 2001 → Dec 31, 2001
Fidelity Brokerage Services, Inc.
Smithfield, RI · BC capacity

Oct 20, 1993 → Mar 31, 1998
American Express Service Corporation
Minneapolis, MN · BC capacity

Apr 30, 1992 → Feb 1, 1994
Ids Life Insurance Company
Minneapolis, MN · BC capacity

Jan 6, 1992 → Oct 19, 1993
American Express Financial Advisors Inc.
Minneapolis, MN · BC capacity

Jan 6, 1992 → Oct 19, 1993

Source & corrections

Where this page comes from

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