Barry Kaiman

CRD 4155421 · Charles Schwab & Co., Inc. · San Francisco, CA

IA RegisteredBroker

Also appears in the source record as: Barry Alan Kaiman

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (7): SIESeries 31Series 7Series 10Series 9Series 24Series 66
Registered states (1): California
Years in the industry (source record): 20
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 (17)

From the source registration record · current first

Charles Schwab & Co., Inc.Current
San Francisco, CA · BC capacity

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

start not retrieved → present
Schwab Wealth Advisory, Inc.Current
San Francisco, CA · IA capacity

start not retrieved → present
Strategic Advisers LLC
Danville, CA · IA capacity

Mar 31, 2025 → May 30, 2025
Fidelity Brokerage Services LLC
Danville, CA · BC capacity

Nov 1, 2017 → May 30, 2025
Fidelity Personal And Workplace Advisors
Salt Lake City, UT · IA capacity

Jul 13, 2018 → Mar 31, 2025
Vanguard Marketing Corporation
Scottsdale, AZ · BC capacity

Jan 2, 2013 → Dec 20, 2016
Tiaa-Cref Advice And Planning Services
Loveland, OH · IA capacity

Aug 22, 2008 → Aug 13, 2012
Tiaa-Cref Individual & Institutional Services, LLC
Cincinnati, OH · BC capacity

Aug 21, 2008 → Aug 13, 2012
Lpl Financial Corporation
Shaker Heights, OH · IA capacity

Nov 9, 2006 → Aug 5, 2008
Lpl Financial Corporation
Shaker Heights, OH · BC capacity

Nov 6, 2006 → Aug 5, 2008
Cco Investment Services Corp.
Cleveland, OH · IA capacity

Sep 26, 2006 → Oct 30, 2006
Cco Investment Services Corp.
Cleveland, OH · BC capacity

Dec 1, 2005 → Oct 30, 2006
Charter One Securities, Inc.
Cleveland, OH · BC capacity

Sep 12, 2005 → Dec 1, 2005
Nebs Financial Services, Inc.
Cleveland, OH · BC capacity

Oct 7, 2004 → Nov 5, 2004
Morgan Stanley
Chagrin Flls, OH · IA capacity

Dec 19, 2003 → Oct 1, 2004
Morgan Stanley Dw Inc.
Purchase, NY · BC capacity

Nov 17, 2003 → Oct 1, 2004

Source & corrections

Where this page comes from

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