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Kathleen Ann Ureda

Charles Schwab & CO., Inc.

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About Kathleen Ann Ureda

Kathleen Ann Ureda is a financial advisor with Charles Schwab & Co., Inc. in Brookfield, WI. Kathleen has been in the financial industry for over 23 years and has extensive experience working with clients in Wisconsin. Prior to joining Charles Schwab, Kathleen worked at The Benchmark Company, LLC, Sterne, Agee & Leach, Inc., Southwest Securities, Inc., Tucker Anthony Incorporated, Tucker Anthony Cleary Gull and Cleary Gull Reiland & McDevitt Inc. Kathleen is registered with the state of Wisconsin and holds Series 7, Series 63 and SIE licenses.

Firm Information

Kathleen Ureda 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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Kathleen Ureda’s Registration & Firm History

WI

01/08/2019 - Present

Charles Schwab & CO., Inc. (Brookfield WI)

WI

08/17/2009 - 12/26/2018

THE BENCHMARK COMPANY, LLC (West Allis WI)

WI

06/24/2005 - 08/03/2009

STERNE, AGEE & LEACH, INC. (MILWAUKEE WI)

TX

12/07/2001 - 06/16/2005

SOUTHWEST SECURITIES, INC. (DALLAS TX)

MA

11/06/1999 - 11/21/2001

TUCKER ANTHONY INCORPORATED (BOSTON MA)

WI

11/27/1998 - 11/01/1999

TUCKER ANTHONY CLEARY GULL (MILWAUKEE WI)

WI

10/14/1996 - 11/27/1998

CLEARY GULL REILAND & MCDEVITT INC. (MILWAUKEE WI)

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Licenses & Designations

BC

Issued 04/27/1998

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/11/1996

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 Kathleen Ann Ureda.
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