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Mark A Garcia

Charles Schwab & CO., Inc.

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About Mark A Garcia

Mark Garcia is a financial professional with over 30 years of experience in the industry. Mark has been registered with Charles Schwab & Co., Inc. since 2021, and previously worked for TD Ameritrade, Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Scottrade, Inc., BANC OF AMERICA INVESTMENT SERVICES, INC., and Charles Schwab & Co., Inc. Mark is currently registered to provide investment advice in California.

Firm Information

Mark Garcia is currently registered with Charles Schwab & CO., Inc.. Charles Schwab & CO., Inc. is a Corporation formed in April 1971, headquartered in San Francisco, California. The firm offers a range of advisory services including financial planning, selection of other advisors, and wrap fee programs. They have a broad client base including individuals, corporations, and other institutions. The firm manages over $50 billion in assets and operates in all 50 states and territories.
Charles Schwab & CO., Inc.

211 MAIN STREET

SAN FRANCISCO, CA 94105

Not reported

Assets Under Management

919,128

Total Clients

10,627

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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wrap fee program sponsor and financial planning advisor referral program

Wrap fee program sponsor and financial planning advisor referral program

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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other

Asset based fees for wrap pgrms & subsc pricing for fin planning

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Mark Garcia’s Registration & Firm History

CA

04/29/2021 - Present

Charles Schwab & CO., Inc. (Brea CA)

NE

05/26/2023 - 12/31/2023

TD AMERITRADE, INC. (OMAHA NE)

CA

05/07/2018 - 03/27/2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (HUNTINGTON BEACH CA)

CA

03/26/2009 - 03/08/2018

SCOTTRADE, INC. (CERRITOS CA)

CA

05/06/2004 - 01/29/2009

BANC OF AMERICA INVESTMENT SERVICES, INC. (LOS ANGELES CA)

TX

10/25/1999 - 04/29/2004

CHARLES SCHWAB & CO., INC. (WESTLAKE TX)

CA

01/01/1999 - 09/27/1999

WM FINANCIAL SERVICES, INC. (IRVINE CA)

NA

09/09/1993 - 01/01/1999

GRIFFIN FINANCIAL SERVICES

CA

11/27/1991 - 08/25/1993

GREAT WESTERN FINANCIAL SECURITIES CORPORATION (NORTHRIDGE CA)

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Licenses & Designations

BOTH

Issued 05/23/2000

Series 66 - Uniform Combined State Law Examination

BC

Issued 12/02/1991

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 11/08/2012

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 10/08/2012

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/14/1993

Series 7 - General Securities Representative Examination

BC

Issued 11/25/1991

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Mark A Garcia.
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