Katherine Elizabeth Canon

CRD 5506068 · Charles Schwab & Co., Inc. · Westlake, TX

IA RegisteredBroker

Also appears in the source record as: Katherine Elizabeth Bartholomew; Katherine E Canon; Katherine Canon

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (3): SIESeries 7Series 66
Registered states (1): Texas
Years in the industry (source record): 17
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 (9)

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
Westlake, TX · IA capacity

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

start not retrieved → present
J.P. Morgan Securities LLC
Plano, TX · IA capacity

May 24, 2016 → Jun 25, 2024
J.P. Morgan Securities LLC
Plano, TX · BC capacity

May 24, 2016 → Jun 25, 2024
Wells Fargo Advisors, LLC
Dallas, TX · IA capacity

Jan 6, 2011 → May 4, 2016
Wells Fargo Advisors, LLC
Dallas, TX · BC capacity

Dec 17, 2010 → May 4, 2016
Wells Fargo Investments, LLC
Murphy, TX · IA capacity

Aug 28, 2008 → Oct 21, 2010
Wells Fargo Investments, LLC
Murphy, TX · BC capacity

Apr 30, 2008 → Oct 21, 2010

Source & corrections

Where this page comes from

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