DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)31 years in industry

Kathleen Ann Zarella

Advisor at CHARLES SCHWAB & CO., INC.

Wayne, PA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:45f5c220-1c0e-8f1b-a8ce-c7ae5d4276a3

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:36 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Mar 31, 2004 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CHARLES SCHWAB & CO., INC.
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 21, 1995earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 15derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S63|S66
First exam: Aug 21, 1995
First registration: Mar 31, 2004
Dual registered: yes, broker-dealer
Other names: Kathleen Ann Finnin|KATHLEEN ANN FRATANGELI
IAPD individual key: 2623279

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CHARLES SCHWAB & CO., INC.	National bd RIA	Jun 16, 2011	n/a	yes	Wayne, PA	Current employment
CHARLES SCHWAB & CO., INC.	National bd RIA	Nov 24, 2008	Oct 26, 2010	no	PHOENIX, AZ\|Phoenix, AZ	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Oct 23, 2008	Nov 5, 2008	no	Phoenix, AZ	Previous registration
J.P. MORGAN SECURITIES INC.	n/a	Apr 30, 2007	Oct 1, 2008	no	SCOTTSDALE, AZ	Previous registration
J.P. MORGAN ASSET MANAGEMENT	n/a	Apr 14, 2005	Oct 24, 2005	no	COLUMBUS, OH	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Mar 31, 2004	Jan 5, 2005	no	COLUMBUS, OH	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
J.P. MORGAN SECURITIES LLC	CHARLES SCHWAB & CO., INC.	Nov 5, 2008	Nov 24, 2008	19	Firm change	Wirehouse to ibd
J.P. MORGAN SECURITIES INC.	J.P. MORGAN SECURITIES LLC	Oct 1, 2008	Oct 23, 2008	22	Bulk transfer	Other
J.P. MORGAN ASSET MANAGEMENT	J.P. MORGAN SECURITIES INC.	Oct 24, 2005	Apr 30, 2007	553	Firm change after gap	Other
TD AMERITRADE, INC.	J.P. MORGAN ASSET MANAGEMENT	Jan 5, 2005	Apr 14, 2005	99	Firm change	Other

Relationships

Registered with (5)

→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: previous registration
Nov 24, 2008 to Oct 26, 2010factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Oct 23, 2008 to Nov 5, 2008factForm ADV
→ J.P. MORGAN SECURITIES INC.Registered adviserregistration: previous registration
Apr 30, 2007 to Oct 1, 2008factForm ADV
→ J.P. MORGAN ASSET MANAGEMENTRegistered adviserregistration: previous registration
Apr 14, 2005 to Oct 24, 2005factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Mar 31, 2004 to Jan 5, 2005factForm ADV

Dated events

No dated event names this entity yet.