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Karen Galbraith

Charles Schwab & Co., Inc.

Lone Tree, CO

Glen Ridge, NJ

CRD 2343689

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Employer firm

Charles Schwab & Co., Inc. CRD 5393

955,800 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Selection of other advisers
  • WRAP FEE PROGRAM SPONSOR AND FINANCIAL PLANNING ADVISOR REFERRAL PROGRAM

From the firm’s Form ADV. Read the guides:

Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2024-11-18
  • NJ RA
    APPROVED
    Since 2024-11-18

Branch Locations

9800 Schwab Way, Lone Tree, CO 80124 • United States

Glen Ridge, NJ • 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
Citigroup Global Markets Inc. New York NY 11/1993 02/2020
Charles Schwab & Co., Inc. Glen Ridge NJ 08/2022 Present
Ubs Financial Services, Inc. Short Hills NJ 06/2021 07/2022
N/A Glen Ridge NJ 02/2020 05/2021
Td Ameritrade Inc Jersey City NJ 01/2024 06/2024
  • 11/1993 → 02/2020
    Citigroup Global Markets Inc.
    New York, NY
  • 08/2022 → Present
    Charles Schwab & Co., Inc.
    Glen Ridge, NJ
  • 06/2021 → 07/2022
    Ubs Financial Services, Inc.
    Short Hills, NJ
  • 02/2020 → 05/2021
    N/A
    Glen Ridge, NJ
  • 01/2024 → 06/2024
    Td Ameritrade Inc
    Jersey City, NJ
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-11-15
S63 Uniform Securities Agent State Law Examination 2000-04-18
  • S66 Uniform Combined State Law Examination
    2024-11-15
  • S63 Uniform Securities Agent State Law Examination
    2000-04-18
Other Names
  • Karen Anne Peterson
  • Karen Galbraith
  • Karen Peterson Galbraith

View on SEC IAPD

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