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RIA / WealthAdvisordual registered (broker-dealer)17 years in industry

KEVIN LEE WHITTINGTON

Advisor at CHARLES SCHWAB & CO., INC.

Tampa, FL | Westlake, TX

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Search this name across graphsid dfx:ria:556bf059-c5c0-d6c1-e925-817539676ec5

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 3:05 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Mar 2, 2009 to Sep 15, 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: Feb 20, 2009earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Feb 20, 2009
First registration: Mar 2, 2009
Dual registered: yes, broker-dealer
Other names: KEVIN LEE WHITTINGTON|KEVIN WHITTINGTON
IAPD individual key: 4907341

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	May 28, 2020	n/a	yes	Tampa, FL\|Westlake, TX	Current employment
USAA INVESTMENT SERVICES COMPANY	No RAUM reported	Jan 8, 2018	May 24, 2020	no	SAN ANTONIO, TX	Previous registration
USAA FINANCIAL PLANNING SERVICES	Former SEC adviser	Oct 12, 2017	Jan 8, 2018	no	TAMPA, FL	Previous registration
MORGAN STANLEY	Wirehouse	Oct 5, 2016	Sep 25, 2017	no	Tampa, FL	Previous registration
INVEST FINANCIAL CORPORATION	Former SEC adviser	Nov 18, 2011	Sep 2, 2016	no	APPLETON, WI	Previous registration
WADDELL & REED	Former SEC adviser	Mar 2, 2009	Jun 28, 2010	no	TAMPA, FL\|CHARLEROI, PA	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
USAA INVESTMENT SERVICES COMPANY	CHARLES SCHWAB & CO., INC.	May 24, 2020	May 28, 2020	4	Bulk transfer	Ibd to ibd
USAA FINANCIAL PLANNING SERVICES	USAA INVESTMENT SERVICES COMPANY	Jan 8, 2018	Jan 8, 2018	0	Bulk transfer	Other
MORGAN STANLEY	USAA FINANCIAL PLANNING SERVICES	Sep 25, 2017	Oct 12, 2017	17	Firm change	Other
INVEST FINANCIAL CORPORATION	MORGAN STANLEY	Sep 2, 2016	Oct 5, 2016	33	Firm change	Other
WADDELL & REED	INVEST FINANCIAL CORPORATION	Jun 28, 2010	Nov 18, 2011	508	Firm change after gap	Other

Relationships

Registered with (6)

→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: current employment
May 28, 2020 to presentfactForm ADV
→ USAA INVESTMENT SERVICES COMPANYRegistered adviserregistration: previous registration
Jan 8, 2018 to May 24, 2020factForm ADV
→ USAA FINANCIAL PLANNING SERVICESRegistered adviserregistration: previous registration
Oct 12, 2017 to Jan 8, 2018factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Oct 5, 2016 to Sep 25, 2017factForm ADV
→ INVEST FINANCIAL CORPORATIONRegistered adviserregistration: previous registration
Nov 18, 2011 to Sep 2, 2016factForm ADV
→ WADDELL & REEDRegistered adviserregistration: previous registration
Mar 2, 2009 to Jun 28, 2010factForm ADV

Dated events

No dated event names this entity yet.