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Detailed Report
KATHRYN MARIE RODRIGUEZ
KATHRYN MARIE HOWERTON, KATIE MARIE HOWERTON, KATIE RODRIGUEZ
CRD#: 4436338
IA
Investment Adviser
B
Broker
CHARLES SCHWAB & CO., INC.CRD#: 5393 1599 Lake Robbins Drive
Suite B-150
The Woodlands, TX 77380
Registration History
20022004200620082010201220142016201820202022202420263 FIRMS2017 - 2018 (1 year)2 FIRMS2018 - Present (6 years)BFIDELITY BROKERAGE SERVICES LLC (CRD# 7784)2001 - 2015 (13 years)IAEFFICIENT WEALTH MANAGEMENT, LLC (CRD# 134242)2016 - 2017 (<1 year)IAMERCER GLOBAL ADVISORS INC. (CRD# 147363)2015 - 2016 (1 year)IASTRATEGIC ADVISERS, INC. (CRD# 104555)2006 - 2015 (8 years)
License(s)

State Registrations

B
Arizona 9/24/2020
B
Minnesota 3/3/2023
B
Arkansas 3/26/2024
B
Missouri 5/28/2020
B
California 5/28/2020
B
New Mexico 10/13/2021
B
Colorado 5/28/2020
B
New York 4/16/2021
B
District of Columbia 5/28/2020
B
Oklahoma 3/28/2019
B
Florida 3/28/2019
B
Tennessee 5/28/2020
B
Illinois 3/28/2019
B
Texas 12/12/2018
B
Indiana 4/16/2021
IA
Texas 12/12/2018
B
Kansas 9/19/2024
B
Virginia 5/28/2020
B
Louisiana 11/11/2020
B
Washington 5/28/2020
B
Massachusetts 10/25/2022

SRO Registrations

B
 FINRA
B
 Nasdaq Stock Market

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CHARLES SCHWAB & CO., INC. (CRD#:5393)
1599 Lake Robbins Drive Suite B-150, The Woodlands, TX 77380
Registered with this firm since 12/12/2018
B
CHARLES SCHWAB & CO., INC. (CRD#:5393)
1599 Lake Robbins Drive Suite B-150, The Woodlands, TX 77380
Registered with this firm since 12/12/2018
Previous Registration(s)
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IA
 02/28/2017 - 11/30/2018 TD AMERITRADE INVESTMENT MANAGEMENT, LLC (CRD#:111514) Woodlands, TX
IA
 02/28/2017 - 11/30/2018 TD AMERITRADE, INC. (CRD#:7870) THE WOODLANDS, TX
B
 03/03/2017 - 11/30/2018 TD AMERITRADE, INC. (CRD#:7870) THE WOODLANDS, TX
IA
 05/17/2016 - 02/03/2017 EFFICIENT WEALTH MANAGEMENT, LLC (CRD#:134242) THE WOODLANDS, TX
IA
 04/13/2015 - 04/20/2016 MERCER GLOBAL ADVISORS INC. (CRD#:147363) SUGAR LAND, TX
IA
 11/09/2006 - 03/13/2015 STRATEGIC ADVISERS, INC. (CRD#:104555) THE WOODLANDS, TX
B
 11/01/2001 - 03/12/2015 FIDELITY BROKERAGE SERVICES LLC (CRD#:7784) THE WOODLANDS, TX
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.