Kathleen Ann Zarella

CRD 2623279 · Charles Schwab & Co., Inc. · Wayne, PA

IA RegisteredBroker

Also appears in the source record as: Kathleen Ann Fratangeli; Kathleen Ann Finnin

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): SIESeries 7Series 6Series 66Series 63
Registered states (16): California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Indiana · Maryland · Massachusetts · New Jersey · New York · North Carolina · Pennsylvania · South Carolina · Texas · Virginia
Years in the industry (source record): 25
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
Wayne, PA · BC capacity

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

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

start not retrieved → present
J.P.Morgan Securities Inc.
Scottsdale, AZ · IA capacity

Oct 23, 2008 → Nov 5, 2008
J.P.Morgan Securities Inc.
Scottsdale, AZ · BC capacity

Oct 1, 2008 → Nov 5, 2008
J. P. Morgan Securities Inc.
Scottsdale, AZ · IA capacity

Apr 30, 2007 → Oct 1, 2008
J.P. Morgan Securities Inc.
Scottsdale, AZ · BC capacity

Apr 26, 2007 → Oct 1, 2008
Jpmorgan Asset Management
Columbus, OH · IA capacity

Apr 14, 2005 → Oct 24, 2005
Jpmorgan Distribution Services, Inc.
Columbus, OH · BC capacity

Mar 31, 2005 → Oct 24, 2005
Td Waterhouse Investor Services, Inc.
Columbus, OH · IA capacity

Mar 31, 2004 → Jan 5, 2005
Td Waterhouse Investor Services, Inc.
Omaha, NE · BC capacity

Nov 6, 2003 → Jan 5, 2005
Banc One Securities Corporation
Chicago, IL · BC capacity

Oct 23, 1997 → May 26, 1999
Princor Financial Services Corporation
Des Moines, IA · BC capacity

Jul 21, 1995 → Mar 28, 1996

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 2623279 ↗ FINRA BrokerCheck record for CRD 2623279 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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