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Detailed Report
KATHERINE ANN STEPHENSON
KATHERINE ANN BAKER, KATHERINE A STEPHENSON, KATIE STEPHENSON
CRD#: 5842166
IA
Investment Adviser
B
Broker
CHARLES SCHWAB & CO., INC.CRD#: 5393 7777 Fay Ave
Suite 105
La Jolla, CA 92037-4325
Registration History
20122014201620182020202220242026IACHARLES SCHWAB & CO., INC. (CRD# 5393)2023 - Present (2 years)BCHARLES SCHWAB & CO., INC. (CRD# 5393)2013 - Present (12 years)BCHARLES SCHWAB & CO., INC. (CRD# 5393)2012 - 2013 (<1 year)
License(s)

State Registrations

B
Arizona 7/7/2022
B
Massachusetts 7/7/2022
B
California 4/12/2013
B
Minnesota 7/7/2022
IA
California 3/14/2023
B
Nevada 7/7/2022
B
Colorado 7/7/2022
B
New York 7/7/2022
B
Connecticut 7/7/2022
B
North Carolina 7/7/2022
B
Delaware 1/10/2023
B
Oregon 7/7/2022
B
Florida 7/7/2022
B
Pennsylvania 7/7/2022
B
Hawaii 1/3/2024
B
South Dakota 7/7/2022
B
Idaho 7/7/2022
B
Texas 7/7/2022
B
Illinois 1/3/2024
B
Utah 7/7/2022
B
Indiana 7/7/2022
B
Washington 7/7/2022
B
Louisiana 1/3/2024
B
West Virginia 1/3/2024
B
Maryland 7/7/2022

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)
7777 Fay Ave Suite 105, La Jolla, CA 92037-4325
Chula Vista, CA
Registered with this firm since 3/14/2023
B
CHARLES SCHWAB & CO., INC. (CRD#:5393)
7777 Fay Ave Suite 105, La Jolla, CA 92037-4325
Chula Vista, CA
Registered with this firm since 4/12/2013
Previous Registration(s)
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B
 07/17/2012 - 03/19/2013 CHARLES SCHWAB & CO., INC. (CRD#:5393) INDIANAPOLIS, IN
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.