Kalpesh Hasmukh Patel

CRD 4228366 · Charles Schwab & Co., Inc. · Horsham, PA

IA RegisteredBroker

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (7): SIESeries 87Series 7Series 10Series 9Series 66Series 63
Registered states (41): Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Illinois · Indiana · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · Ohio · Oklahoma · Oregon · Pennsylvania · Rhode Island · South Carolina · Tennessee · Texas · Vermont · Virginia · Washington · Wisconsin · Wyoming
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 (13)

From the source registration record · current first

Charles Schwab & Co., Inc.Current
Horsham, PA · IA capacity

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

start not retrieved → present
Northwestern Mutual Investment Services,llc
Jamison, PA · IA capacity

Oct 25, 2022 → Jul 6, 2023
Northwestern Mutual Investment Services, LLC
Jamison, PA · BC capacity

Oct 11, 2022 → Jul 6, 2023
Morgan Stanley
Doylestown, PA · IA capacity

Oct 10, 2017 → Nov 1, 2018
Morgan Stanley
Doylestown, PA · BC capacity

Oct 5, 2017 → Nov 1, 2018
Barclays Capital Inc.
New York, NY · BC capacity

Aug 31, 2012 → Feb 10, 2017
J.P. Morgan Securities LLC
New York, NY · BC capacity

Mar 23, 2012 → Jul 12, 2012
Jefferies & Company, Inc.
New York, NY · BC capacity

Jun 17, 2008 → Aug 1, 2011
Lazard Freres & Co. LLC
New York, NY · BC capacity

Jul 2, 2002 → Dec 31, 2002
Deutsche Bank Securities Inc.
New York, NY · BC capacity

Apr 12, 2001 → Jun 21, 2002
Sanford C. Bernstein & Co., LLC
Nashville, TN · BC capacity

Dec 7, 2000 → Mar 12, 2001
Sanford C. Bernstein & Co., Inc.
New York, NY · BC capacity

Sep 15, 2000 → Dec 7, 2000

Source & corrections

Where this page comes from

Advisor registration data on this site is reproduced from the SEC's Investment Adviser Public Disclosure (IAPD) system and FINRA's BrokerCheck. Those systems are the official records; this site is not. We do not alter the factual content of the records we reproduce.

SEC IAPD record for CRD 4228366 ↗ FINRA BrokerCheck record for CRD 4228366 ↗ 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.

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.