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RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

KENJI DAVID WILLIAMS

Advisor at CHARLES SCHWAB & CO., INC.

Miamisburg, OH

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Search this name across graphsid dfx:ria:a960cbb9-a092-63d1-28b2-1c828069c9aa

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:28 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jan 30, 2017 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: Jan 1, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S66|S63
First exam: Sep 3, 2002
First registration: Jan 30, 2017
Dual registered: yes, broker-dealer
IAPD individual key: 4329387

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	Feb 17, 2022	n/a	yes	Miamisburg, OH	Current employment
OSAIC FA, INC.	Former SEC adviser	Feb 11, 2021	Feb 15, 2022	no	CINCINNATI, OH	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Feb 27, 2018	Jan 11, 2021	no	BEAVERCREEK, OH	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Feb 26, 2018	Dec 31, 2020	no	OMAHA, NE\|BEAVERCREEK, OH	Previous registration
SCOTTRADE INVESTMENT MANAGEMENT	Former SEC adviser	Jan 30, 2017	Feb 26, 2018	no	SAINT LOUIS, MO	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
OSAIC FA, INC.	CHARLES SCHWAB & CO., INC.	Feb 15, 2022	Feb 17, 2022	2	Firm change	Ibd to ibd
TD AMERITRADE, INC.	OSAIC FA, INC.	Jan 11, 2021	Feb 11, 2021	31	Firm change	Other
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	TD AMERITRADE, INC.	Dec 31, 2020	Feb 27, 2018	-1,038	Bulk transfer	Other
SCOTTRADE INVESTMENT MANAGEMENT	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Feb 26, 2018	Feb 26, 2018	0	Bulk transfer	Ibd to RIA

Relationships

Registered with (5)

→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: current employment
Feb 17, 2022 to presentfactForm ADV
→ OSAIC FA, INC.Registered adviserregistration: previous registration
Feb 11, 2021 to Feb 15, 2022factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Feb 27, 2018 to Jan 11, 2021factForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Feb 26, 2018 to Dec 31, 2020factForm ADV
→ SCOTTRADE INVESTMENT MANAGEMENTRegistered adviserregistration: previous registration
Jan 30, 2017 to Feb 26, 2018factForm ADV

Dated events

Occurred
Feb 15, 2022
Advisor changed firm
Kenji David Williams left Osaic Fa, Inc. for Charles Schwab & Co., Inc. (registered 2022-02-17)
Form ADVobserved 4 days ago