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Mark A Garcia

Charles Schwab & Co., Inc.

Brea, CA

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Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2021-04-29
  • CA RA
    APPROVED
    Since 2021-04-29

Branch Locations

3421 E. Imperial Highway Suite E-1, Brea, CA 92823 • 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
Scottrade, Inc. Cerrtos CA 03/2009 03/2018
Merrill Lynch, Pierce, Fenner & Smith Incorporated Huntington Beach CA 05/2018 03/2021
Bank Of America, N.A. Huntington Beach CA 05/2018 03/2021
Charles Schwab & Co., Inc. Brea CA 03/2021 Present
Charles Schwab Bank, Ssb Brea CA 03/2021 Present
Td Ameritrade Inc. Brea CA 05/2023 06/2024
Previous Registrations
  • 2018-05-07 → 2021-03-27
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Huntington Beach, CA
  • 2016-09-16 → 2018-03-08
    Scottrade Investment Management
    Saint Louis, MO
  • 2004-05-06 → 2009-01-29
    Banc Of America Investment Services, Inc.
    Los Angeles, CA
    Los Angeles, CA
    Los Angeles, CA
    Los Angeles, CA
    Los Angeles, CA
    Los Angeles, CA
  • 2000-05-31 → 2004-04-29
    Charles Schwab & Co., Inc.
    Pasadena, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-05-23
S63 Uniform Securities Agent State Law Examination 1991-12-02
  • S66 Uniform Combined State Law Examination
    2000-05-23
  • S63 Uniform Securities Agent State Law Examination
    1991-12-02
Other Names
  • Mark Andrew Garcia
  • Mark A Garcia
  • Mark Garcia

View on SEC IAPD

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