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Mark Anthony Findling

Charles Schwab & Co., Inc.

Carmel, IN

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Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
IN RA APPROVED 2013-03-15
  • IN RA
    APPROVED
    Since 2013-03-15

Branch Locations

2375 East 116Th Street, Carmel, IN 46032-3281 • 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. Carmel IN 02/2011 Present
Charles Schwab Bank Ssb Carmel IN 03/2013 Present
Other Businesses

1) Low Cost Spay & Neuter Clinic | Investment Related:No|1721 Pleasant st A|Noblesville|IN|46060|USA|Nonprofit Charitable Organizations|Board Member|12/28/2016|Less than 20|0|board member consulting on operational issues and future growth of the organization

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-03-14
S63 Uniform Securities Agent State Law Examination 2012-05-23
  • S66 Uniform Combined State Law Examination
    2013-03-14
  • S63 Uniform Securities Agent State Law Examination
    2012-05-23

View on SEC IAPD

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Other Offices

VALIC FINANCIAL ADVISORS, INC. · CARMEL, IN
OPPENHEIMER ASSET MANAGEMENT · CARMEL, IN
ONEAMERICA SECURITIES, INC. · CARMEL, IN
LPL FINANCIAL LLC · CARMEL, IN
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Carmel, IN
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · CARMEL, IN
STATE FARM INVESTMENT MANAGEMENT CORP. · Carmel, IN
WILLIAMSON LEGACY GROUP, LLC · Carmel, IN

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