Kaleb Christopher Hays
Professional Summary
Kaleb Christopher Hays, who also goes by Kaleb Hays, is a registered financial advisor currently at CHARLES SCHWAB & CO., INC. located in Omaha, Nebraska. Kaleb is registered as a RR (Registered Representative) and started their career in finance in 2017. Kaleb has worked at 2 firms and has passed the Series 63, Series 34, Series 3, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Kaleb Hays
Similar Advisors
OSAIC WEALTH, INC.
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
OSAIC WEALTH, INC.
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
OSAIC WEALTH, INC.
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
OSAIC WEALTH, INC.
Years of Experience
9 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
OSAIC WEALTH, INC.
Current Firm
CHARLES SCHWAB & CO., INC.
Contact Information
Main Address
3000 Schwab Way 17th Floor, San Francisco, CA 94105Mailing Address
3000 Schwab Way Sf211mn-08-330, Westlake, TX 76262-8104Phone Number
(817) 859-5000Established
California since 04/01/1971Firm Type
CorporationFiscal Year End
DecemberFirm Size
Large# of Employees
30,690SEC notice filing (52 States and Territories)
Registered to provide investment advisory services in 52 US states and territories.
FINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 52 US 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 |
| NEWHOUSE, MITCHELL | INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER | 6108428 |
| NICHOLS, CHARLES | MANAGING DIRECTOR AND BROKER DEALER 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
59Civil Event
3Arbitration
262Bond
2Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/11/2026 | Cover Page | Report |
| 01/23/2026 | Cover Page | Report |
| 02/24/2025 | Cover Page | Report |
| 01/19/2024 | Cover Page | Report |
Similar Advisors
OSAIC WEALTH, INC.
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
OSAIC WEALTH, INC.
Primary Firm SEC Registration
CHARLES SCHWAB & CO., INC.
State Registrations and Notice Filings
(1/27/2023)
(2/3/2023)
(1/27/2023)
(1/27/2023)
(1/27/2023)
(1/27/2023)
(1/27/2023)
(1/27/2023)
(1/27/2023)
(1/27/2023)
(1/27/2023)
(1/27/2023)
(1/27/2023)
(1/27/2023)
(1/27/2023)
(1/27/2023)
(1/27/2023)
(1/27/2023)
(1/27/2023)
(1/27/2023)
(1/27/2023)
(3/1/2023)
(1/27/2023)
(1/27/2023)
(1/27/2023)
(1/27/2023)
(1/27/2023)
(1/27/2023)
(5/17/2024)
(1/27/2023)
(1/27/2023)
(1/27/2023)
(1/27/2023)
(5/19/2024)
(1/27/2023)
(1/27/2023)
(1/27/2023)
(2/16/2023)
(2/3/2023)
(1/27/2023)
(1/27/2023)
(1/27/2023)
(1/27/2023)
(1/27/2023)
(1/27/2023)
(2/3/2023)
(1/27/2023)
(1/27/2023)
(2/7/2023)
(1/27/2023)
(2/27/2023)
(1/27/2023)
(1/27/2023)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
SRO Registrations
Similar Advisors
OSAIC WEALTH, INC.
CRS (Client Relationship Summary) - BD
CHARLES SCHWAB & CO., INC. — Broker-Dealer Firm
Version Date: Sun, Mar 31, 2024
Charles Schwab & Co., Inc. (“Schwab,” “we,” or “us”) is a broker-dealer registered with the Securities and Exchange Commission (SEC). The summary below highlights the nature of the brokerage relationship with our clients. Schwab is also an investment adviser registered with the SEC and is a member of the Financial Industry Regulatory Authority (FINRA) and the Securities Investor Protection Corporation (SIPC). Our brokerage and investment advisory services and fees differ, and we believe it is important for you to understand those differences.
Similar Advisors
OSAIC WEALTH, INC.