Chris Kawashima
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.
Chris Kawashima, CFP®, ChFC®, who also goes by Chris Koji Kawashima, was a registered financial professional .
Chris is a previously registered financial professional and started their career in finance in 2008. Chris had worked at 2 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Biography
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 17, 2014 - April 2, 2020
SCHWAB WEALTH ADVISORY, INC.
January 3, 2012 - January 17, 2014
CHARLES SCHWAB & CO., INC.
December 2, 2010 - December 31, 2011
CHARLES SCHWAB & CO., INC.
October 23, 2008 - April 28, 2026
CHARLES SCHWAB & CO., INC.
Primary Firm SEC Registration
SCHWAB WEALTH ADVISORY, INC.
CRD#: 159035 / SEC#: 801-72795
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
SCHWAB WEALTH ADVISORY, INC.
CRD#: 159035 / SEC#: 801-72795
Contact information
SEC notice filing (53 States and Territories)
Red Flags
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