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Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2026-03-12
  • CT RA
    APPROVED
    Since 2026-03-12

Branch Locations

300 Atlantic St. Suite 130, Stamford, CT 06901-3514 • 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
Kirkland & Ellis Llp New York NY 10/2014 04/2017
Self-Employed Geneva, Switzerland 10/2013 10/2018
Universal Music Group Santa Monica CA 10/2018 03/2019
Self-Realization Fellowship Los Angeles CA 04/2019 07/2019
Self-Employed Greenwich CT 07/2019 Present
Gibson Dunn & Crutcher Llp New York NY 03/2020 10/2020
Sotheby's International Realty; Compass Elegran Greenwich CT 04/2021 04/2023
Extended Travel Los Angeles CA 10/2020 04/2021
Compass; Higgins Group Private Brokerage Greenwich CT 10/2022 05/2024
Jacob Burns Film Center Pleasantville NY 04/2021 07/2021
Tory Burch Greenwich CT 11/2021 01/2022
Rlty Capital New York NY 11/2021 09/2022
St. Mary's Roman Catholic Church Ridgefield CT 04/2014 06/2023
Self-Employed Tarrytown NY 05/2005 04/2023
Fidelity Investments Greenwich CT 05/2023 12/2025
Charles Schwab Stamford CT 01/2026 Present
  • 10/2014 → 04/2017
    Kirkland & Ellis Llp
    New York, NY
  • 10/2013 → 10/2018
    Self-Employed
    Geneva, Switzerland
  • 10/2018 → 03/2019
    Universal Music Group
    Santa Monica, CA
  • 04/2019 → 07/2019
    Self-Realization Fellowship
    Los Angeles, CA
  • 07/2019 → Present
    Self-Employed
    Greenwich, CT
  • 03/2020 → 10/2020
    Gibson Dunn & Crutcher Llp
    New York, NY
  • 04/2021 → 04/2023
    Sotheby's International Realty; Compass Elegran
    Greenwich, CT
  • 10/2020 → 04/2021
    Extended Travel
    Los Angeles, CA
  • 10/2022 → 05/2024
    Compass; Higgins Group Private Brokerage
    Greenwich, CT
  • 04/2021 → 07/2021
    Jacob Burns Film Center
    Pleasantville, NY
  • 11/2021 → 01/2022
    Tory Burch
    Greenwich, CT
  • 11/2021 → 09/2022
    Rlty Capital
    New York, NY
  • 04/2014 → 06/2023
    St. Mary's Roman Catholic Church
    Ridgefield, CT
  • 05/2005 → 04/2023
    Self-Employed
    Tarrytown, NY
  • 05/2023 → 12/2025
    Fidelity Investments
    Greenwich, CT
  • 01/2026 → Present
    Charles Schwab
    Stamford, CT
Previous Registrations
Other Businesses

1) Freelance Performer | Investment Related:No||Performing/Fine Arts|Performer/Coach|2005-09-01|Less than 20|0|singer and coach

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-06-16
S63 Uniform Securities Agent State Law Examination 2023-12-01
  • S66 Uniform Combined State Law Examination
    2025-06-16
  • S63 Uniform Securities Agent State Law Examination
    2023-12-01
Other Names
  • Katharine Susanne Bereday Steffens
  • Katharine Steffens

View on SEC IAPD

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