Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ralph? Claim Your ProfileRalph Baca is a financial advisor with Schwab Wealth Advisory, Inc. in Indianapolis, Indiana. Ralph has over 19 years of experience in the financial services industry. Ralph is a registered representative and investment advisor representative. Ralph has Series 7, Series 63, Series 65, Series 66 and Series 9 licenses. Ralph has also passed the SIE exam. Ralph has been registered with Schwab Wealth Advisory, Inc. since 2015. Ralph was previously employed by TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC, Charles Schwab & Co., Inc., Compass Brokerage, Inc., Chase Investment Services Corp., E*TRADE SECURITIES LLC, and OLDE DISCOUNT CORPORATION.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
Swa program paid by wrap sponsor pursuant to cost plan formula.
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2
IN
01/04/2022 - Present
Schwab Wealth Advisory, Inc. (INDIANAPOLIS IN)
TX
01/18/2013 - 06/30/2015
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (HOUSTON TX)
TX
05/09/2011 - 02/01/2013
CHARLES SCHWAB & CO., INC. (HOUSTON TX)
AL
06/02/2004 - 12/06/2005
COMPASS BROKERAGE, INC. (BIRMINGHAM AL)
IL
01/30/2004 - 05/21/2004
CHASE INVESTMENT SERVICES CORP. (CHICAGO IL)
NJ
01/28/2003 - 06/11/2003
E*TRADE SECURITIES LLC (JERSEY CITY NJ)
TX
09/14/2000 - 10/29/2002
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
TX
03/19/2001 - 07/17/2001
CYBERTRADER, INC. (AUSTIN TX)
MI
11/18/1998 - 07/24/2000
OLDE DISCOUNT CORPORATION (DETROIT MI)
BOTH
Issued 07/25/2011
Series 66 - Uniform Combined State Law Examination
IA
Issued 04/15/2003
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/19/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/23/2017
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/07/2011
Series 7 - General Securities Representative Examination
BC
Issued 11/12/1998
Series 52 - Municipal Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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