Kristine Marie Warner

CRD 4509041 · Charles Schwab & Co., Inc. · Westlake, TX

IA RegisteredBroker

Also appears in the source record as: Kristine Marie Kositzki; Kristine Kositzki

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (6): SIESeries 7Series 6Series 26Series 65Series 63
Registered states (53): Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virgin Islands · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 23
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 (11)

From the source registration record · current first

Charles Schwab & Co., Inc.Current
Westlake, TX · BC capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
Lake Bluff, IL · IA capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
Westlake, TX · IA capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
Lake Bluff, IL · IA capacity

start not retrieved → present
Charles Schwab Investment Advisory, Inc
Chicago, IL · IA capacity

Apr 21, 2020 → Feb 8, 2022
Guggenheim Funds Distributors, LLC
Chicago, IL · BC capacity

Mar 3, 2014 → Apr 13, 2020
Guggenheim Investments
New York, NY · IA capacity

Oct 26, 2010 → Apr 13, 2020
Guggenheim Distributors, LLC
Lisle, IL · BC capacity

Apr 19, 2006 → Mar 3, 2014
Rydex Advisory Services, LLC
Rockville, MD · IA capacity

Jan 26, 2009 → Oct 28, 2010
Allstate Distributors, L.L.C.
Northbrook, IL · BC capacity

Oct 4, 2002 → Mar 31, 2006
Afd, Inc.
Northbrook, IL · BC capacity

Jul 25, 2002 → Oct 4, 2002

Source & corrections

Where this page comes from

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