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Kathy Ann Jones

Charles Schwab & CO., Inc.

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About Kathy Ann Jones

Kathy Ann Jones is a financial advisor who has been in the industry since 2000. Kathy is currently registered with Charles Schwab & CO., Inc. and has a Series 7, 63, 24, 86, 87, SIE, and 79TO. Kathy has worked for several firms in her career including Morgan Stanley Smith Barney, Citigroup Global Markets Inc., and Prudential Securities Incorporated.

Firm Information

Kathy Jones 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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Kathy Jones’s Registration & Firm History

CA

04/25/2011 - Present

Charles Schwab & CO., Inc. (San Francisco CA)

NY

03/01/2010 - 04/11/2011

MORGAN STANLEY SMITH BARNEY (PURCHASE NY)

NY

04/20/2004 - 03/01/2010

CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)

NY

09/30/1996 - 12/31/2000

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

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Licenses & Designations

BC

Issued 03/18/2004

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 08/21/2011

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/23/2004

Series 86 - Research Analyst Exam - Part I Analysis Module

BC

Issued 07/12/2004

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 04/19/2004

Series 7 - General Securities Representative Examination

BC

Issued 09/25/1996

Series 16 - NYSE Supervisory Analyst Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Kathy Ann Jones.
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