Kathryn Buiel

CRD 4124875 · Charles Schwab & Co., Inc. · Westlake, TX

IA RegisteredBroker

Also appears in the source record as: Kathryn Amanda Buiel; Kathryn Amanda Lavy; Katie Amanda Lavy

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (8): Series 6TOSeries 62SIESeries 7Series 51Series 24Series 66Series 63
Registered states (1): Texas
Years in the industry (source record): 24
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 (8)

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
Prudential Financial Planning Services
Houston, TX · IA capacity

Feb 27, 2020 → Oct 29, 2024
Pruco Securities, LLC.
Houston, TX · BC capacity

Jul 25, 2012 → Oct 29, 2024
Metlife Securities Inc.
Dallas, TX · BC capacity

Mar 11, 2005 → Jul 6, 2012
Metropolitan Life Insurance Company
Chicago, IL · BC capacity

Mar 11, 2005 → Jul 9, 2007
Northwestern Mutual Investment Services, LLC
Milwaukee, WI · BC capacity

Jul 12, 2002 → Jan 5, 2005
J.J.B. Hilliard, W.L. Lyons, Inc.
Louisville, KY · BC capacity

Aug 8, 2000 → Sep 26, 2001

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 4124875 ↗ FINRA BrokerCheck record for CRD 4124875 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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

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