Kevin James Dalke

Current Employers

Charles Schwab & Co., Inc.

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

Current Registrations

Authority	Category	Status	Date
NE	RA	APPROVED	2022-10-05

NE RA
APPROVED

Since 2022-10-05

Branch Locations

Lewis, IA • United States

200 S. 108 Ave, Omaha, NE 68154 • 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 Yes
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Ameritrade, Inc.	Lewis	IA	02/2004	05/2024
Td Waterhouse Investor Services, Inc.	Omaha	NE	04/2006	08/2020
Charles Schwab & Co.	Lewis	IA	10/2022	Present

02/2004 → 05/2024

Ameritrade, Inc.

Lewis, IA
04/2006 → 08/2020

Td Waterhouse Investor Services, Inc.

Omaha, NE
10/2022 → Present

Charles Schwab & Co.

Lewis, IA

Previous Registrations

2007-08-30 → 2022-10-14

Td Ameritrade, Inc.

Omaha, NE

Omaha, NE

Omaha, NE

Omaha, NE

Omaha, NE

Omaha, NE

Lewis, IA
2007-08-30 → 2020-08-07

Td Ameritrade Investment Management, Llc

Bellevue, NE

Omaha, NE

Omaha, NE

Omaha, NE

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2007-08-17
S63	Uniform Securities Agent State Law Examination	1999-08-24

S66 Uniform Combined State Law Examination

2007-08-17
S63 Uniform Securities Agent State Law Examination

1999-08-24

Other Names

Kevin Dalke

View on SEC IAPD