Kevin James Dalke

CRD 3258817 · Charles Schwab & Co., Inc. · Omaha, NE

IA RegisteredBroker

Also appears in the source record as: Kevin Dalke

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (8): SIESeries 34Series 3Series 7Series 4Series 24Series 66Series 63
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

The official record for CRD 3258817 contains one or more disclosure events as of Aug 20, 2026.

findmyFA.app does not reproduce, summarise, characterise, or interpret the content of disclosure events. A disclosure event is a category of entry in a regulatory record; it is not, by itself, a finding of wrongdoing. Read the events in full on the official systems:

FINRA BrokerCheck ↗ · 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
Omaha, NE · BC capacity

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

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

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

start not retrieved → present
Td Ameritrade, Inc.
Omaha, NE · BC capacity

Apr 22, 2006 → May 19, 2024
Td Ameritrade, Inc.
Lewis, IA · IA capacity

Aug 30, 2007 → Oct 14, 2022
Td Ameritrade Investment Management, LLC
Omaha, NE · IA capacity

Aug 30, 2007 → Aug 7, 2020
Td Ameritrade Clearing, Inc.
Omaha, NE · BC capacity

Dec 22, 2017 → Apr 20, 2020
Thinkorswim, Inc.
Chicago, IL · BC capacity

Aug 21, 2009 → May 27, 2010
M Holdings Securities, Inc.
Portland, OR · BC capacity

Feb 13, 2002 → Jul 11, 2003
Sii Investments, Inc.
Appleton, WI · BC capacity

Oct 3, 2000 → Feb 20, 2002
Edward Jones
St. Louis, MO · BC capacity

Aug 26, 1999 → Sep 23, 2000

Source & corrections

Where this page comes from

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