Kelly Johnson

CRD 4431711 · Charles Schwab Investment Management, Inc · Marina Del Rey, CA

IA RegisteredRegistration inactive

Also appears in the source record as: Kelly Johnson

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Inactive
Investment adviser registration: Active
Exams passed (4): Series 66SIESeries 3Series 7
Registered states (1): California
Years in the industry (source record): 25
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 4431711 contains one or more disclosure events as of Aug 20, 2026.

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Current firm

From the firm record

Firm: Charles Schwab Investment Management, Inc
Firm CRD: 106753
SEC number: 801-35905
Assets under management: $1.7T as of Mar 30, 2026
Website: www.thomaspartnersinvestmentmanagement.com ↗
Phone: 800-650-9744
Firm location: San Francisco, CA, 94105

Employment history (11)

From the source registration record · current first

Charles Schwab Investment Management, IncCurrent
Marina Del Rey, CA · IA capacity

Jan 15, 2021 → present
Charles Schwab & Co., Inc.
BD capacity

Mar 23, 2020 → Jan 15, 2021
Charles Schwab Investment Advisory, Inc
IA capacity

Feb 16, 2018 → Jan 15, 2021
Windhaven Investment Management, Inc.
IA capacity

Jun 15, 2017 → Mar 30, 2018
Thomaspartners, Inc.
IA capacity

Jun 15, 2017 → Mar 30, 2018
Charles Schwab & Co., Inc.
BD capacity

Mar 25, 2016 → Jun 8, 2017
Charles Schwab & Co., Inc.
IA capacity

Mar 24, 2016 → Jun 8, 2017
City National Rochdale
IA capacity

Feb 5, 2015 → Jan 8, 2016
Rim Securities LLC
BD capacity

Jan 27, 2015 → Jan 8, 2016
Pimco Investments LLC
BD capacity

Feb 14, 2011 → Jan 20, 2015
Allianz Global Investors Distributors LLC
BD capacity

Sep 4, 2001 → Feb 14, 2011

Source & corrections

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