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Kenneth George Coles

Charles Schwab & CO., Inc.

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About Kenneth George Coles

Kenneth Coles is a registered representative with Charles Schwab & Co., Inc. Kenneth has been in the industry since 1999 and previously worked at TD AMERITRADE, INC. and CITIGROUP GLOBAL MARKETS INC. Kenneth holds licenses for Series 63, 65, and 7 as well as the SIE. He is licensed to provide advisory services in the states of California, Connecticut, District of Columbia, Florida, Georgia, Illinois, Massachusetts, Michigan, New Jersey, New York, Pennsylvania, South Carolina, and Tennessee. Kenneth is also a bartender for a Halloween party for Elegant Events, which is not investment-related.

Firm Information

Kenneth Coles 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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Kenneth Coles’s Registration & Firm History

NJ

01/26/2022 - Present

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

NY

02/23/2012 - 07/29/2024

TD AMERITRADE, INC. (Garden City NY)

NY

07/09/2009 - 02/13/2012

CHASE INVESTMENT SERVICES CORP. (GARDEN CITY NY)

NY

05/29/2007 - 07/22/2009

CITIGROUP GLOBAL MARKETS INC. (NEW HYDE PARK NY)

NY

10/24/2005 - 05/29/2007

CITICORP INVESTMENT SERVICES (NEW HYDE PARK NY)

IL

01/19/2005 - 10/14/2005

CHASE INVESTMENT SERVICES CORP. (CHICAGO IL)

IL

04/03/2000 - 12/31/2004

CHASE INVESTMENT SERVICES CORP. (CHICAGO IL)

NY

07/28/1998 - 07/29/1999

CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)

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Licenses & Designations

IA

Issued 03/17/2005

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 09/30/1998

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/27/1998

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There is public disclosure for Kenneth George Coles. Review regulatory record here.
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