Donald Michael Klein

CRD 2594108 · Charles Schwab & Co., Inc. · Northbrook, IL

IA RegisteredBroker

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): SIESeries 7Series 66Series 65Series 63
Registered states (23): Arizona · California · Colorado · Connecticut · Florida · Idaho · Illinois · Indiana · Iowa · Massachusetts · Michigan · Missouri · Nevada · New Hampshire · New Mexico · North Carolina · Ohio · Pennsylvania · South Carolina · Tennessee · Texas · Washington · Wisconsin
Years in the industry (source record): 30
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 (12)

From the source registration record · current first

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

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

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

start not retrieved → present
Advice And Planning Services
Evanston, IL · IA capacity

Sep 14, 2015 → Jun 11, 2019
Tiaa-Cref Individual & Institutional Services, LLC
Evanston, IL · BC capacity

Aug 25, 2015 → Jun 11, 2019
J.P. Morgan Institutional Investments Inc.
Chicago, IL · BC capacity

Jan 3, 2011 → Aug 7, 2015
Jpmorgan Distribution Services, Inc.
Chicago, IL · BC capacity

Apr 30, 2010 → Jan 3, 2011
Wells Fargo Funds Management, LLC
Menomonee Falls, WI · IA capacity

May 23, 2006 → Dec 31, 2009
Wells Fargo Funds Distributor, LLC
Menomonee Falls, WI · BC capacity

Feb 22, 2006 → Dec 31, 2009
Nationwide Investment Services Corporation
Columbus, OH · BC capacity

Mar 21, 2001 → Feb 17, 2006
Kemper Distributors, Inc.
Chicago, IL · BC capacity

May 28, 1998 → Mar 20, 2001
Peb Financial Group, Inc.
Chicago, IL · BC capacity

Apr 19, 1995 → Mar 27, 1998

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 2594108 ↗ FINRA BrokerCheck record for CRD 2594108 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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

Preview release — partial coverage. This is a public-records lookup tool, not investment advice, not a recommendation, and not an endorsement of any advisor. Registration status shown here is a copy of a government record and may be out of date; always confirm against SEC IAPD and FINRA BrokerCheck before acting.