Kimberly Diane Mente

CRD 4444033 · Charles Schwab & Co., Inc. · Westlake, TX

IA RegisteredBroker

Also appears in the source record as: Kim Mente; Kimberly Diane Thomson

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): SIESeries 7Series 66Series 63
Registered states (1): Texas
Years in the industry (source record): 21
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 (10)

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
Td Ameritrade, Inc.
Southlake, TX · BC capacity

Aug 26, 2013 → Dec 16, 2022
Td Ameritrade, Inc.
Southlake, TX · IA capacity

Aug 26, 2013 → Oct 14, 2022
Td Ameritrade Investment Management, LLC
Southlake, TX · IA capacity

Aug 26, 2013 → Aug 22, 2019
Wells Fargo Advisors, LLC
Fort Worth, TX · IA capacity

Jan 28, 2008 → Aug 2, 2013
Wells Fargo Advisors, LLC
Fort Worth, TX · BC capacity

Jan 28, 2008 → Aug 2, 2013
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Southlake, TX · IA capacity

Jun 15, 2007 → Jan 31, 2008
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Southlake, TX · BC capacity

Dec 20, 2006 → Jan 31, 2008
Edward Jones
St. Louis, MO · BC capacity

Feb 24, 2005 → Feb 7, 2006

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 4444033 ↗ FINRA BrokerCheck record for CRD 4444033 ↗ 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.