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Raphael Alberto Anaya

Charles Schwab & CO., Inc.

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About Raphael Alberto Anaya

Raphael Anaya is an active investment advisor representative with Charles Schwab & CO., Inc. in San Francisco, California. Raphael has been in the financial industry since 2018. Raphael has passed the Series 7TO, Series 6, SIE and Series 63 exams. Raphael was previously registered with LPL Financial LLC, Wells Fargo Clearing Services, LLC and J.P. Morgan Securities LLC. Raphael has experience in the following: financial planning and selection of other advisors.

Firm Information

Raphael Anaya 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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Raphael Anaya’s Registration & Firm History

CA

08/02/2022 - Present

Charles Schwab & CO., Inc. (San Francisco CA)

CA

05/01/2020 - 06/22/2022

WELLS FARGO CLEARING SERVICES, LLC (PLEASANT HILL CA)

CA

08/29/2019 - 04/17/2020

LPL FINANCIAL LLC (CONCORD CA)

CA

07/27/2018 - 08/14/2019

J.P. MORGAN SECURITIES LLC (CONCORD CA)

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Licenses & Designations

BOTH

Issued 09/27/2021

Series 66 - Uniform Combined State Law Examination

BC

Issued 09/10/2018

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/28/2019

Series 7TO - General Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/27/2018

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 Raphael Alberto Anaya.
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