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Robert A Baraga

Charles Schwab & Co., Inc.

Pasadena, CA

CRD 3145963

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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 2019-01-04
CA RA APPROVED 2003-05-08
  • TX RA
    APPROVED_RES
    Since 2019-01-04
  • CA RA
    APPROVED
    Since 2003-05-08

Branch Locations

251 S. Lake Ave. Suite 150, Pasadena, CA 91101 • 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. Pasadena CA 04/2003 Present
Charles Schwab Bank Pasadena CA 02/2005 Present
Previous Registrations
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1999-01-08
S65 Uniform Investment Adviser Law Examination 1999-01-08
  • S63 Uniform Securities Agent State Law Examination
    1999-01-08
  • S65 Uniform Investment Adviser Law Examination
    1999-01-08
Other Names
  • Robert Armando Baraga

View on SEC IAPD

Nearby Firms

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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
STRATEGY ASSET MANAGERS L.L.C.

Nearby Investors

CHRISTOPHER LEU
JAY EDWIN LOMETILLO
Salvador Rodriguez

Nearby Offices

CMR CAPITAL MANAGEMENT, LLC · PASADENA, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · PASADENA, CA
STRATEGY ASSET MANAGERS L.L.C. · PASADENA, CA

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