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Christopher Ratka

Charles Schwab & Co., Inc.

Phoenix, AZ

CRD 5274447

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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
AZ RA APPROVED 2023-05-30
CA RA APPROVED 2018-06-18
  • AZ RA
    APPROVED
    Since 2023-05-30
  • CA RA
    APPROVED
    Since 2018-06-18

Branch Locations

2423 E Lincoln Dr, Phoenix, AZ 85016-1215 • 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
The Vanguard Group, Inc Scottsdale AZ 01/2007 02/2017
Financial Engines Advisors L.L.C. Phoenix AZ 02/2017 05/2018
Charles Schwab & Co Phoenix AZ 05/2018 Present
  • 01/2007 → 02/2017
    The Vanguard Group, Inc
    Scottsdale, AZ
  • 02/2017 → 05/2018
    Financial Engines Advisors L.L.C.
    Phoenix, AZ
  • 05/2018 → Present
    Charles Schwab & Co
    Phoenix, AZ
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2017-04-21
S63 Uniform Securities Agent State Law Examination 2007-02-16
  • S65 Uniform Investment Adviser Law Examination
    2017-04-21
  • S63 Uniform Securities Agent State Law Examination
    2007-02-16
Other Names
  • Christopher J Ratka
  • Christopher James Ratka

View on SEC IAPD

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