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Mark F Babula

Charles Schwab & Co., Inc.

South Barrington, IL

Schaumburg, IL

CRD 3113113

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Employer firm

Charles Schwab & Co., Inc. CRD 5393

955,800 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Selection of other advisers
  • WRAP FEE PROGRAM SPONSOR AND FINANCIAL PLANNING ADVISOR REFERRAL PROGRAM

From the firm’s Form ADV. Read the guides:

Current Employers
Charles Schwab & Co., Inc.

425 Market Street 17Th Floor, San Francisco, CA 94105 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2019-01-02
IL RA APPROVED 2000-05-09
  • TX RA
    APPROVED_RES
    Since 2019-01-02
  • IL RA
    APPROVED
    Since 2000-05-09

Branch Locations

100 West Higgins Road Suite A-1, South Barrington, IL 60010-9408 • United States

1160 N Plaza Drive, Schaumburg, IL 60173 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Charles Schwab Co.,Inc. South Barrington IL 03/2000 Present
Charles Schwab Bank, Ssb South Barrington IL 02/2005 Present
  • 03/2000 → Present
    Charles Schwab Co.,Inc.
    South Barrington, IL
  • 02/2005 → Present
    Charles Schwab Bank, Ssb
    South Barrington, IL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-11-03
S63 Uniform Securities Agent State Law Examination 1998-11-02
  • S65 Uniform Investment Adviser Law Examination
    1998-11-03
  • S63 Uniform Securities Agent State Law Examination
    1998-11-02
Other Names
  • Mark Francis Babula

View on SEC IAPD

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