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Erik Jason Kautzmann

Charles Schwab & Co., Inc.

Oklahoma City, OK

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Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
OK RA APPROVED 2023-03-14
  • OK RA
    APPROVED
    Since 2023-03-14

Branch Locations

13710 N. Pennsylvania Ave Suite 2, Oklahoma City, OK 73134-6030 • 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
Fidelity Investments Redondo Beach CA 10/2011 01/2023
Fidelity Personal And Workplace Advisors Boston MA 07/2018 01/2023
Charles Schwab & Co., Inc. Oklahoma City OK 01/2023 Present
Charles Schwab Bank Oklahoma City OK 01/2023 Present
  • 10/2011 → 01/2023
    Fidelity Investments
    Redondo Beach, CA
  • 07/2018 → 01/2023
    Fidelity Personal And Workplace Advisors
    Boston, MA
  • 01/2023 → Present
    Charles Schwab & Co., Inc.
    Oklahoma City, OK
  • 01/2023 → Present
    Charles Schwab Bank
    Oklahoma City, OK
Previous Registrations
  • 2018-07-13 → 2023-02-01
    Fidelity Personal And Workplace Advisors
    Boston, MA
  • 2015-11-10 → 2018-07-13
    Strategic Advisers Llc
    Mountain View, CA
  • 2010-12-22 → 2011-10-18
    Liberty Group, Llc
    Oakland, CA
  • 2008-01-01 → 2009-01-26
    Wells Fargo Clearing Services, Llc
    Santa Barbara, CA
  • 2007-06-19 → 2008-01-01
    A. G. Edwards & Sons, Inc.
    St. Louis, MO
    Santa Barbara, CA
Other Businesses

Cascade Estates HOA|Investment Related:No|2107 W Main St;Norman;OK;73069;USA|Home Owners Association|Vice President|2025-08-04|HoursPerMonth:Varies|HoursSpentduringSecurityTrading:0|Direct the management service on how they use the funds of the homeowners association to the appropriate needs in compliance with the bylaws of the HOA.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-11-02
S66 Uniform Combined State Law Examination 2007-06-18
  • S65 Uniform Investment Adviser Law Examination
    2015-11-02
  • S66 Uniform Combined State Law Examination
    2007-06-18
Other Names
  • Erik J. Kautzmann

View on SEC IAPD

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Other Offices

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · OKLAHOMA CITY, OK
HILLTOP SECURITIES INC. · OKLAHOMA CITY, OK
LPL FINANCIAL LLC · OKLAHOMA CITY, OK
UBS FINANCIAL SERVICES INC. · OKLAHOMA CITY, OK
EQUITABLE ADVISORS, LLC · OKLAHOMA CITY, OK
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Oklahoma City, OK
UBS FINANCIAL SERVICES INC. · Oklahoma City, OK
LPL FINANCIAL LLC · Oklahoma City, OK

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