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Kathryn Dunaway

Charles Schwab & Co., Inc.

Phoenix, AZ

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Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
AZ RA APPROVED 2025-07-18
  • AZ RA
    APPROVED
    Since 2025-07-18

Branch Locations

4750 E Francisco, Phoenix, AZ 85044 • 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
Pruco Securities Llc Phoenix AZ 03/2024 09/2024
Rising Cloud Phoenix AZ 08/2022 01/2024
Scribeamerica Fort Lauderdale FL 06/2019 10/2022
Full Time Education Sacramento CA 08/2014 05/2019
Full Time Education Phoenix AZ 12/2022 08/2024
Cetera Advisor Networks Llc El Segundo CA 09/2024 04/2025
Cetera Investment Advisers Llc Schaumburg IL 10/2024 04/2025
Charles Schwab & Co., Inc. Phoenix AZ 06/2025 Present
Charles Schwab Bank, Ssb Phoenix AZ 06/2025 Present
  • 03/2024 → 09/2024
    Pruco Securities Llc
    Phoenix, AZ
  • 08/2022 → 01/2024
    Rising Cloud
    Phoenix, AZ
  • 06/2019 → 10/2022
    Scribeamerica
    Fort Lauderdale, FL
  • 08/2014 → 05/2019
    Full Time Education
    Sacramento, CA
  • 12/2022 → 08/2024
    Full Time Education
    Phoenix, AZ
  • 09/2024 → 04/2025
    Cetera Advisor Networks Llc
    El Segundo, CA
  • 10/2024 → 04/2025
    Cetera Investment Advisers Llc
    Schaumburg, IL
  • 06/2025 → Present
    Charles Schwab & Co., Inc.
    Phoenix, AZ
  • 06/2025 → Present
    Charles Schwab Bank, Ssb
    Phoenix, AZ
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2024-09-28
S63 Uniform Securities Agent State Law Examination 2024-07-22
  • S65 Uniform Investment Adviser Law Examination
    2024-09-28
  • S63 Uniform Securities Agent State Law Examination
    2024-07-22
Other Names
  • Katie Dunaway

View on SEC IAPD

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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · PHOENIX, AZ
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · PHOENIX, AZ
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