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RIA / WealthAdvisordual registered (broker-dealer)39 years in industry

KAREN LYNN STEVISON

Advisor at CHARLES SCHWAB & CO., INC.

Phoenix, AZ | Lone Tree, CO

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Search this name across graphsid dfx:ria:84bb6c0f-16f7-8e4c-7f8f-ea2587595899

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:32 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Sep 3, 2002 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: Apr 28, 1987earliest registration or exam on IAPD
Years in industry: 39derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S63|S66|S65
First exam: Apr 28, 1987
First registration: Sep 3, 2002
Dual registered: yes, broker-dealer
Other names: KAREN ANDERSON|KAREN LYNN ANDERSON|K A ANDERSON
IAPD individual key: 1572456

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 25, 2023	n/a	yes	Phoenix, AZ\|Lone Tree, CO	Current employment
TD AMERITRADE, INC.	Former SEC adviser	Jul 27, 2021	Oct 14, 2022	no	OMAHA, NE\|PHOENIX, AZ	Previous registration
NUVEEN ASSET MANAGEMENT, LLC	Mixed wealth	May 3, 2011	Dec 3, 2012	no	CHICAGO, IL	Previous registration
U.S. BANCORP ASSET MANAGEMENT, INC.	Asset manager	Nov 16, 2010	Jan 5, 2011	no	MINNEAPOLIS, MN	Previous registration
FRED ALGER MANAGEMENT, LLC	Asset manager	Feb 16, 2005	Aug 14, 2009	no	JERSEY CITY, NJ	Previous registration
GOLDMAN SACHS & CO. LLC	Wirehouse	Sep 3, 2002	Sep 16, 2002	no	CHICAGO , IL	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
TD AMERITRADE, INC.	CHARLES SCHWAB & CO., INC.	Oct 14, 2022	May 25, 2023	223	Channel change	Other
NUVEEN ASSET MANAGEMENT, LLC	TD AMERITRADE, INC.	Dec 3, 2012	Jul 27, 2021	3,158	Firm change after gap	Other
U.S. BANCORP ASSET MANAGEMENT, INC.	NUVEEN ASSET MANAGEMENT, LLC	Jan 5, 2011	May 3, 2011	118	Firm change	Other
FRED ALGER MANAGEMENT, LLC	U.S. BANCORP ASSET MANAGEMENT, INC.	Aug 14, 2009	Nov 16, 2010	459	Firm change after gap	Other
GOLDMAN SACHS & CO. LLC	FRED ALGER MANAGEMENT, LLC	Sep 16, 2002	Feb 16, 2005	884	Firm change after gap	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
7870:5393:AZ:2022-10-14	Oct 14, 2022	May 25, 2023	PHOENIX, AZ	Firm change

Relationships

Registered with (6)

→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: current employment
May 25, 2023 to presentfactForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Jul 27, 2021 to Oct 14, 2022factForm ADV
→ NUVEEN ASSET MANAGEMENT, LLCRegistered adviserregistration: previous registration
May 3, 2011 to Dec 3, 2012factForm ADV
→ U.S. BANCORP ASSET MANAGEMENT, INC.Registered adviserregistration: previous registration
Nov 16, 2010 to Jan 5, 2011factForm ADV
→ FRED ALGER MANAGEMENT, LLCRegistered adviserregistration: previous registration
Feb 16, 2005 to Aug 14, 2009factForm ADV
→ GOLDMAN SACHS & CO. LLCRegistered adviserregistration: previous registration
Sep 3, 2002 to Sep 16, 2002factForm ADV

Dated events

No dated event names this entity yet.