Robin L. Ketchem
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.
Robin Lynn Ketchem, who also goes by Robin Lynn Ketchem, Robin L Ketchen, Robin Ketchem Maes, was a registered financial professional .
Robin is a previously registered financial professional and started their career in finance in 1992. Robin had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 9, Series 10 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 9, 2022 - June 5, 2026
CHARLES SCHWAB & CO., INC.
March 9, 2022 - June 5, 2026
CHARLES SCHWAB & CO., INC.
December 29, 2014 - November 13, 2020
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
November 19, 2012 - November 13, 2020
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
September 10, 2007 - November 12, 2012
EMPOWER FINANCIAL SERVICES, INC.
January 29, 2007 - September 10, 2007
NATIONAL PLANNING CORPORATION
March 1, 2006 - January 26, 2007
WELLS FARGO CLEARING SERVICES, LLC
March 21, 2005 - February 14, 2006
EMPOWER FINANCIAL SERVICES, INC.
May 20, 2003 - December 31, 2003
VESTAX SECURITIES CORPORATION
May 20, 2003 - December 31, 2003
IFG NETWORK SECURITIES, INC.
May 6, 2002 - March 9, 2005
CETERA ADVISORS LLC
October 24, 2000 - March 26, 2002
GLOBAL CAPITAL SECURITIES CORPORATION
November 5, 1996 - August 7, 2000
GLOBAL CAPITAL SECURITIES CORPORATION
October 7, 1994 - November 11, 1996
FISERV CORRESPONDENT SERVICES, INC.
October 22, 1992 - October 12, 1994
HANIFEN, IMHOFF INC.
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
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 | 251 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/23/2026 | ||
| 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.
