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John Paul Barriga

Charles Schwab & Co., Inc.

Rockville, MD

Westlake, TX

CRD 4975673

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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
VA RA APPROVED 2018-09-25
  • VA RA
    APPROVED
    Since 2018-09-25

Branch Locations

Rockville, MD • United States

3000 Schwab Way, Westlake, TX 76262 • 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
Profunds Distributors, Inc. Bethesa MD 08/2008 08/2018
Charles Schwab & Co., Inc. Vienna VA 08/2018 Present
Td Ameritrade, Inc. Vienna VA 07/2021 06/2024
  • 08/2008 → 08/2018
    Profunds Distributors, Inc.
    Bethesa, MD
  • 08/2018 → Present
    Charles Schwab & Co., Inc.
    Vienna, VA
  • 07/2021 → 06/2024
    Td Ameritrade, Inc.
    Vienna, VA
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-09-05
  • S66 Uniform Combined State Law Examination
    2007-09-05
Other Names
  • John Barriga

View on SEC IAPD

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