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Kristine Marie Warner

Charles Schwab & Co., Inc.

Westlake, TX

Lake Bluff, IL

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Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2022-02-03
  • IL RA
    APPROVED
    Since 2022-02-03

Branch Locations

3000 Schwab Way, Westlake, TX 76262 • United States

Lake Bluff, IL • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Rydex Distributors, Inc. Shaumberg IL 03/2006 04/2020
Guggenheim Funds Distributors, Llc Lisle IL 03/2014 04/2020
Charles Schwab & Co., Inc. Lake Bluff IL 04/2020 Present
Charles Schwab Investment Advisory, Inc. Chicago IL 04/2020 12/2021
Charles Schwab Trust Bank Lake Bluff IL 02/2021 Present
  • 03/2006 → 04/2020
    Rydex Distributors, Inc.
    Shaumberg, IL
  • 03/2014 → 04/2020
    Guggenheim Funds Distributors, Llc
    Lisle, IL
  • 04/2020 → Present
    Charles Schwab & Co., Inc.
    Lake Bluff, IL
  • 04/2020 → 12/2021
    Charles Schwab Investment Advisory, Inc.
    Chicago, IL
  • 02/2021 → Present
    Charles Schwab Trust Bank
    Lake Bluff, IL
Previous Registrations
  • 2020-04-21 → 2022-02-08
    Charles Schwab Investment Advisory, Inc.
    San Francisco, CA
    Chicago, IL
  • 2010-10-26 → 2020-04-13
    Guggenheim Investments
    New York, NY
  • 2009-01-26 → 2010-10-28
    Rydex Advisory Services, Llc
    Rockville, MD
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2009-01-07
S63 Uniform Securities Agent State Law Examination 2002-09-09
  • S65 Uniform Investment Adviser Law Examination
    2009-01-07
  • S63 Uniform Securities Agent State Law Examination
    2002-09-09
Other Names
  • Kristine Kositzki
  • Kristine Marie Kositzki

View on SEC IAPD

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