Katharine Steffens
Investment adviser representative at Charles Schwab & Co., Inc.
21 yearsExperience
1 stateRegistered in
$0Firm assets
39 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Fixed or flat feeOther
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
Experience
21 years in the industry.
- Charles Schwab & Co., Inc.Mar 2026 to now
- Charles SchwabJan 2026 to now
- Self-employedMay 2005 to now
- Fidelity InvestmentsMay 2023 to Dec 2025
- Compass; Higgins Group Private BrokerageOct 2022 to May 2024
- Rlty CapitalNov 2021 to Sep 2022
- Tory BurchNov 2021 to Jan 2022
- Sotheby's International Realty; Compass ElegranApr 2021 to Apr 2023
- Jacob Burns Film CenterApr 2021 to Jul 2021
- Extended TravelOct 2020 to Apr 2021
- Gibson Dunn & Crutcher LLPMar 2020 to Oct 2020
- Self-realization FellowshipApr 2019 to Jul 2019
- Universal Music GroupOct 2018 to Mar 2019
- Kirkland & Ellis LLPOct 2014 to Apr 2017
- St. Mary's Roman Catholic ChurchApr 2014 to Jun 2023
Exams passed
- Series 63 · Uniform Securities Agent State Law2023
- Series 66 · Uniform Combined State Law2025
State registrations
Registered as an investment adviser representative in 1 state (CT).
Charles Schwab & Co., Inc.
$0Assets managed
0Clients
6,777Advisers
39 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 7751411
- Firm CRD
- 5393