Kathy Ann Borkovec

Current Employers

Charles Schwab & Co., Inc.

425 Market Street 17Th Floor, San Francisco, CA 94105 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2019-01-02
IL	RA	APPROVED	2006-03-09

TX RA
APPROVED_RES

Since 2019-01-02
IL RA
APPROVED

Since 2006-03-09

Branch Locations

445 Skokie Blvd, Northbrook, IL 60062 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Charles Schwab & Co., Inc.	Northbrook	IL	12/2005	Present
Charles Schwab Bank, Ssb	Northbrook	IL	01/2006	Present

12/2005 → Present

Charles Schwab & Co., Inc.

Northbrook, IL
01/2006 → Present

Charles Schwab Bank, Ssb

Northbrook, IL

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2006-03-07
S63	Uniform Securities Agent State Law Examination	1993-01-26

S66 Uniform Combined State Law Examination

2006-03-07
S63 Uniform Securities Agent State Law Examination

1993-01-26

Other Names

Kathy Ann Wallenfang
Kathy Ann Berry
Kathy Ann Wallenfang