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David Klee Katz

Charles Schwab & CO., Inc.

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About David Klee Katz

David Katz is a financial advisor currently working at Charles Schwab & CO., Inc. David has been in the industry since April 20, 2013 and has been working at Charles Schwab & CO., Inc. since May 10, 2018. David is registered with the Financial Industry Regulatory Authority (FINRA) and has a Series 7 and Series 63 license. David is also registered as an Investment Advisor Representative (IAR) in New Jersey. In addition to working at Charles Schwab & CO., Inc., David has worked at Morgan Stanley and HFP Capital Markets LLC. David is able to provide financial planning services and selection of other advisors.

Firm Information

David Katz is currently registered with Charles Schwab & CO., Inc.. Charles Schwab & CO., Inc. is a Corporation formed in April 1971, headquartered in San Francisco, California. The firm offers a range of advisory services including financial planning, selection of other advisors, and wrap fee programs. They have a broad client base including individuals, corporations, and other institutions. The firm manages over $50 billion in assets and operates in all 50 states and territories.
Charles Schwab & CO., Inc.

211 MAIN STREET

SAN FRANCISCO, CA 94105

Not reported

Assets Under Management

919,128

Total Clients

10,627

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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wrap fee program sponsor and financial planning advisor referral program

Wrap fee program sponsor and financial planning advisor referral program

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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other

Asset based fees for wrap pgrms & subsc pricing for fin planning

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David Katz’s Registration & Firm History

NJ

05/10/2018 - Present

Charles Schwab & CO., Inc. (Millburn NJ)

NJ

02/15/2013 - 12/04/2013

MORGAN STANLEY (RIDGEWOOD NJ)

NY

10/12/2012 - 11/12/2012

HFP CAPITAL MARKETS LLC (NEW YORK NY)

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Licenses & Designations

IA

Issued 03/28/2013

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 10/22/2012

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/11/2012

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for David Klee Katz.
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