Kevin Gerard Kelly

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration

Active

Investment adviser registration

Active

Exams passed (6)

Series 7TOSIESeries 7Series 24Series 63Series 65

Registered states (53)

Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virgin Islands · Virginia · Washington · West Virginia · Wisconsin · Wyoming

Years in the industry (source record)

26

Professional designations

Not yet retrieved from the source record

Disclosures

Copied from the official record

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 (17)

From the source registration record · current first

• Charles Schwab & Co., Inc.Current

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

  Westlake, TX · BC capacity
  start not retrieved → present
• Td Ameritrade, Inc.

  Westlake, TX · BC capacity
  Jan 24, 2023 → Sep 1, 2023
• Fisher Investments

  Plano, TX · IA capacity
  May 27, 2021 → Jul 20, 2021
• Alps Distributors, Inc.

  San Diego, CA · BC capacity
  Sep 1, 2015 → Dec 3, 2020
• Brandes Investment Partners, LP

  San Diego, CA · IA capacity
  Apr 5, 2013 → Dec 2, 2020
• Quasar Distributors, LLC

  Portland, ME · BC capacity
  May 23, 2013 → Aug 31, 2015
• Efficient Market Advisors, LLC

  Del Mar, CA · IA capacity
  Dec 8, 2010 → Aug 1, 2011
• Wolters, Hagar & Pratt Financial Planning, Inc.

  San Diego, CA · IA capacity
  Oct 11, 2005 → Dec 13, 2010
• Sagepoint Financial, Inc.

  San Diego, CA · IA capacity
  Mar 18, 2009 → Dec 3, 2010
• Sagepoint Financial, Inc.

  San Diego, CA · BC capacity
  Oct 31, 2005 → Dec 3, 2010
• Sentra Securities Corporation

  Phoenix, AZ · BC capacity
  Sep 12, 2005 → Oct 31, 2005
• Commonwealth Financial Network

  Waltham, MA · BC capacity
  Apr 9, 2003 → Apr 13, 2004
• Nicholas-Applegate Securities (A California Limited Partnership)

  San Diego, CA · BC capacity
  Sep 9, 1997 → Feb 6, 2002
• Scudder Investor Services, Inc.

  New York, NY · BC capacity
  Jul 7, 1994 → Jul 21, 1997
• Hamilton Investments, Inc.

  BC capacity
  Jan 1, 1993 → Dec 21, 1993
• Chatfield Dean & Co., Inc.

  Greenwood Village, CO · BC capacity
  Aug 24, 1992 → Nov 12, 1992

Source & corrections

Where this page comes from

Advisor registration data on this site is reproduced from the SEC's Investment Adviser Public Disclosure (IAPD) system and FINRA's BrokerCheck. Those systems are the official records; this site is not. We do not alter the factual content of the records we reproduce.

Data compiled Aug 20, 2026. Source: BROKERCHECK. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.