Julia V. Niehaus
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.
Julia Valentine Niehaus, who also goes by Julia Valentinovna Kolodiyazhnaya, Julia Valentinovna Kolody, Julie V Kolody, Julie Kolody, Julia V Niehaus, was a registered financial professional .
Julia is a previously registered financial professional and started their career in finance in 2000. Julia had worked at 6 firms and has passed the Series 66, SIE, Series 7, Series 4, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 4, 2017 - April 12, 2024
CHARLES SCHWAB & CO., INC.
April 4, 2017 - April 12, 2024
CHARLES SCHWAB & CO., INC.
August 3, 2016 - March 29, 2017
RBC CAPITAL MARKETS, LLC
August 1, 2016 - March 29, 2017
RBC CAPITAL MARKETS, LLC
August 20, 2015 - February 25, 2016
RAYMOND JAMES & ASSOCIATES, INC.
August 19, 2015 - February 25, 2016
RAYMOND JAMES & ASSOCIATES, INC.
January 24, 2012 - December 31, 2013
CHARLES SCHWAB & CO., INC.
December 9, 2009 - December 31, 2011
CHARLES SCHWAB & CO., INC.
April 13, 2004 - December 31, 2008
CHARLES SCHWAB & CO., INC.
April 13, 2004 - December 31, 2013
CHARLES SCHWAB & CO., INC.
November 14, 2000 - April 2, 2004
CITIGROUP GLOBAL MARKETS INC.
November 8, 2000 - April 2, 2004
CITIGROUP GLOBAL MARKETS INC.
August 24, 2000 - October 19, 2000
IDS LIFE INSURANCE COMPANY
August 24, 2000 - October 19, 2000
AMERIPRISE FINANCIAL SERVICES, LLC
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 | 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.
