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BK

Barry Kaiman

SCHWAB WEALTH ADVISORY
San Francisco, CA 94105
Some features on this profile are disabled
CRD#: 4155421
BK

Professional summary

Barry Kaiman, who also goes by Barry Alan Kaiman, is a registered financial advisor currently at SCHWAB WEALTH ADVISORY, INC. located in San Francisco, California and CHARLES SCHWAB & CO., INC. located in San Francisco, California.

Barry is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Barry has worked at 12 firms and has passed the Series 66, SIE, Series 31, Series 7, Series 10, Series 9 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Barry Alan Kaiman

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Barry Kaiman's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

June 24, 2025 - Present

SCHWAB WEALTH ADVISORY, INC.

Office #1: 211 Main St, San Francisco, CA 94105
RIA
CRD#: 159035
San Francisco, CA
Current

June 24, 2025 - Present

CHARLES SCHWAB & CO., INC.

Office #1: 211 Main Street, San Francisco, CA 94105
RIA
BD
CRD#: 5393
San Francisco, CA
Past

March 31, 2025 - May 30, 2025

STRATEGIC ADVISERS LLC

RIA
CRD#: 104555
DANVILLE, CA
Past

July 13, 2018 - March 31, 2025

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA
CRD#: 288590
SALT LAKE CITY, UT
Past

November 7, 2017 - July 13, 2018

STRATEGIC ADVISERS LLC

RIA
CRD#: 104555
WALNUT CREEK, CA
Past

November 1, 2017 - May 30, 2025

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
DANVILLE, CA
Past

January 2, 2013 - December 20, 2016

VANGUARD MARKETING CORPORATION

BD
CRD#: 7452
SCOTTSDALE, AZ
Past

August 22, 2008 - August 13, 2012

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA
CRD#: 20472
LOVELAND, OH
Past

August 21, 2008 - August 13, 2012

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

BD
CRD#: 20472
CINCINNATI, OH
Past

November 9, 2006 - August 5, 2008

LPL FINANCIAL LLC

RIA
CRD#: 6413
SHAKER HEIGHTS, OH
Past

November 6, 2006 - August 5, 2008

LPL FINANCIAL LLC

BD
CRD#: 6413
SHAKER HEIGHTS, OH
Past

September 26, 2006 - October 30, 2006

CITIZENS SECURITIES, INC.

RIA
CRD#: 39550
CLEVELAND, OH
Past

December 1, 2005 - October 30, 2006

CITIZENS SECURITIES, INC.

BD
CRD#: 39550
CLEVELAND, OH
Past

September 12, 2005 - December 1, 2005

CHARTER ONE SECURITIES, INC.

BD
CRD#: 13373
CLEVELAND, OH
Past

October 7, 2004 - November 5, 2004

NEBS FINANCIAL SERVICES, INC.

BD
CRD#: 103874
CLEVELAND, OH
Past

December 19, 2003 - October 1, 2004

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
CHAGRIN FLLS, OH
Past

November 17, 2003 - October 1, 2004

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SW
SCHWAB WEALTH ADVISORY, INC.
SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. | SCHWAB WEALTH ADVISORY, INC.

CRD#: 159035 / SEC#: 801-72795

RIA
Registered Investment Advisory firm - (12/9/2011 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(6/24/2025)
IAR
California
(6/24/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/26/2003
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 3/26/2004
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 10/31/2003
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/19/2018
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 1/5/2018
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/5/2007
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

SW
SCHWAB WEALTH ADVISORY, INC.
SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. | SCHWAB WEALTH ADVISORY, INC.

CRD#: 159035 / SEC#: 801-72795

RIA
Registered Investment Advisory firm - (12/9/2011 Approved)
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Contact information

Main Address
211 Main Street, San Francisco, CA 94105-1901
Mailing Address
Phone number
(415) 667-7000
Established
Firm type
Fiscal year end
# of Employees
1,042

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

SCHWAB WEALTH ADVISORY, INC. DISCLOSURE BROCHURE (9/23/2025)

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.

Company Information

SCHWAB WEALTH ADVISORY, INC.

CRD#: 159035San Francisco, CA 94105

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