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David Klee Katz

Charles Schwab & Co., Inc.

Millburn, NJ

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Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2018-05-10
  • NJ RA
    APPROVED
    Since 2018-05-10

Branch Locations

350 Millburn Ave, Millburn, NJ 07041 • 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
Charles Schwab Bank, Ssb Millburn NJ 02/2014 Present
Charles Schwab & Co., Inc. Millburn NJ 02/2014 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2013-03-28
S63 Uniform Securities Agent State Law Examination 2012-10-22
  • S65 Uniform Investment Adviser Law Examination
    2013-03-28
  • S63 Uniform Securities Agent State Law Examination
    2012-10-22
Other Names
  • David Katz

View on SEC IAPD

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Other Offices

STRATEGIC ADVISERS LLC · MILLBURN, NJ
SORYN IP CAPITAL MANAGEMENT · MILLBURN, NJ
CITIZENS SECURITIES, INC. · MILLBURN, NJ
EDWARD JONES · MILLBURN, NJ
LPL FINANCIAL LLC · MILLBURN, NJ
WELLS FARGO CLEARING SERVICES, LLC · MILLBURN, NJ
BELLWETHER CONSULTING LLC · MILLBURN, NJ
J.P. MORGAN SECURITIES LLC · MILLBURN, NJ

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