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Kerry Lea Romstad

Charles Schwab & CO., Inc.

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About Kerry Lea Romstad

Kerry Romstad is a financial advisor with Charles Schwab & Co., Inc. Kerry is registered to provide investment advice in California and Texas, as well as broker-dealer services in 17 states and the District of Columbia. Kerry has been in the securities industry since 1994, has a background in securities sales supervision and is able to offer financial planning services. Kerry has an active Securities Industry Essentials Examination (SIE) certification and is a Registered Representative with FINRA. Kerry is a member of the Charles Schwab & Co., Inc. team since 2012.

Firm Information

Kerry Romstad 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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Kerry Romstad’s Registration & Firm History

CA

01/06/2020 - Present

Charles Schwab & CO., Inc. (Napa CA)

TX

08/20/1996 - 01/31/2002

CHARLES SCHWAB & CO., INC. (WESTLAKE TX)

NY

06/03/1994 - 08/02/1996

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 06/29/2012

Series 66 - Uniform Combined State Law Examination

IA

Issued 08/29/1996

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 06/20/1995

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/03/1997

Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/07/2012

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 Kerry Lea Romstad.
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