Mitchell Kahl
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Mitchell Kahl, who also goes by Mitchell (none) Kahl, Mitchell Kahl, Mitch Kahl, was a registered financial professional .
Mitchell is a previously registered financial professional and started their career in finance in 1983. Mitchell had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10, Series 9 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 14, 2022 - July 7, 2022
CHARLES SCHWAB & CO., INC.
January 26, 2022 - July 7, 2022
CHARLES SCHWAB & CO., INC.
January 30, 2015 - July 7, 2022
TD AMERITRADE, INC.
January 21, 2015 - July 7, 2022
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
January 14, 2015 - July 7, 2022
TD AMERITRADE, INC.
March 12, 2014 - December 26, 2014
SCOTTRADE, INC.
July 15, 2013 - February 28, 2014
WITHUM WEALTH MANAGEMENT
September 7, 2012 - April 26, 2013
THE MUTUAL FUND STORE
June 18, 2008 - September 5, 2012
TD AMERITRADE, INC.
July 18, 2007 - September 5, 2012
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
July 18, 2007 - September 5, 2012
TD AMERITRADE, INC.
September 25, 2006 - July 6, 2007
FIDELITY DISTRIBUTORS COMPANY LLC
August 14, 2006 - September 1, 2006
FIRST MONTAUK SECURITIES CORP.
August 14, 2006 - September 1, 2006
FIRST MONTAUK SECURITIES CORP.
May 23, 2002 - January 3, 2005
CHARLES SCHWAB & CO., INC.
February 12, 1998 - January 3, 2005
CHARLES SCHWAB & CO., INC.
January 15, 1991 - October 7, 1997
CHARLES SCHWAB & CO., INC.
June 2, 1989 - December 5, 1990
UBS FINANCIAL SERVICES INC.
June 17, 1988 - July 20, 1989
CITIGROUP GLOBAL MARKETS INC.
October 3, 1986 - June 28, 1988
EAB SECURITIES, INC.
April 19, 1983 - August 11, 1986
J. B. HANAUER & CO.
Primary Firm SEC Registration
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 1/9/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHWAB HOLDINGS, INC. | 100% OWNER | |
| BEATTY, JONATHAN SCOTT | DIRECTOR, MANAGING DIRECTOR AND HEAD OF ADVISOR SERVICES | 2429276 |
| CRAIG, JONATHAN M | PRESIDENT, DIRECTOR, MANAGING DIRECTOR AND HEAD OF INVESTOR SERVICES AND MARKETING | 4144656 |
| HATHI, NEESHA K | MANAGING DIRECTOR HEAD OF WEALTH & ADVICE SOLUTIONS | 2648997 |
| HOWARD, DENNIS WILLARD | MANAGING DIRECTOR AND CHIEF INFORMATION OFFICER | 6403083 |
| NICHOLS, CHARLES | MANAGING DIRECTOR AND BROKER DEALER & INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER | 4811434 |
| STARR, JEFFREY HAROLD | MANAGING DIRECTOR, AND OPERATIONAL SERVICES AND PRINCIPAL OPERATIONS OFFICER | 4700461 |
| VERDESCHI, MICHAEL DANIEL | MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 4570777 |
Disclosures
| Regulatory Event | 58 |
| Civil Event | 3 |
| Arbitration | 248 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/24/2025 | ||
| 01/19/2024 | ||
| 04/14/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
