William Knowis Kaiser

Charles Schwab & Co., Inc.

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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	2021-07-21

TX RA
APPROVED

Since 2021-07-21

Branch Locations

3000 Schwab Way, Westlake, TX 76262 • 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

Organization	City	State	From	To
Bgemd Capital Advisors, Llc	Richardson	TX	10/2011	07/2021
Charles Schwab & Co., Inc.	Westlake	TX	07/2021	Present
Charles Schwab Bank, Ssb	Westlake	TX	07/2021	Present

10/2011 → 07/2021

Bgemd Capital Advisors, Llc

Richardson, TX
07/2021 → Present

Charles Schwab & Co., Inc.

Westlake, TX
07/2021 → Present

Charles Schwab Bank, Ssb

Westlake, TX

Previous Registrations

2012-01-19 → 2021-07-12

Bland Garvey Wealth Advisors, Llc

Richardson, TX
2011-06-24 → 2011-11-23

7Th Harvest Investments

Dallas, TX
2011-02-16 → 2011-06-10

Advanced Equities, Inc.

Chicago, IL

San Francisco, CA
2009-10-15 → 2009-12-14

Hennion & Walsh Asset Management, Inc.

Parsippany, NJ
2009-05-06 → 2009-08-25

Morgan Keegan & Company, Llc

Dallas, TX
2003-07-16 → 2009-05-11

Fisher Investments

Plano, TX
2002-05-29 → 2007-11-30

Howard Financial Services, Ltd.

Dallas, TX

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2021-09-09
S65	Uniform Investment Adviser Law Examination	2003-07-30

S63 Uniform Securities Agent State Law Examination

2021-09-09
S65 Uniform Investment Adviser Law Examination

2003-07-30

Designations

Other Names

Bill Kaiser
William Knowis Kaiser
William K Kaiser

View on SEC IAPD

Other Firms

STRATEGIC ADVISERS LLC

FIDELITY INSTITUTIONAL WEALTH ADVISER LLC

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

LPL FINANCIAL LLC

ADVISOR RESOURCE COUNCIL

SCHWAB WEALTH ADVISORY, INC.

CHARLES SCHWAB INVESTMENT MANAGEMENT, INC

Other Investors

MATTHEW R MCMANUS

VICTOR MURDAUGH WHITE

JACOB BRANDON KINNARD

MICHAEL D FRANTZ

BRANDON JAMES GOODWIN

Other Offices

STRATEGIC ADVISERS LLC · WESTLAKE, TX

STRATEGIC ADVISERS LLC · WESTLAKE, TX

FIDELITY INSTITUTIONAL WEALTH ADVISER LLC · WESTLAKE, TX

EDWARD JONES · Westlake, TX

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Trophy Club, TX

LPL FINANCIAL LLC · TROPHY CLUB, TX

ADVISOR RESOURCE COUNCIL · Trophy Club, TX

EDWARD JONES · TROPHY CLUB, TX

More in Westlake, TX

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