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Rolando Ruiz Bautista

Charles Schwab & CO., Inc.

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About Rolando Ruiz Bautista

Rolando Ruiz Bautista is an Investment Advisor Representative. Rolando is a registered representative of Charles Schwab & CO., Inc. with a focus on investment and financial planning services. Rolando is located in San Jacinto, California. Rolando has been working in the financial industry since 1999 and has passed the Series 63, 66, 4, 7, 9, 10, and 24 exams. Rolando has held past positions at TD Ameritrade, Inc. and TD Ameritrade Clearing, Inc.

Firm Information

Rolando Bautista 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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Rolando Bautista’s Registration & Firm History

AZ

10/06/2022 - Present

Charles Schwab & CO., Inc. (Phoenix AZ)

CA

10/11/1999 - 09/01/2023

TD AMERITRADE, INC. (San Diego CA)

NE

10/10/2012 - 05/18/2020

TD AMERITRADE CLEARING, INC. (OMAHA NE)

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Licenses & Designations

BOTH

Issued 12/15/2011

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/28/1999

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/05/2010

Series 24 - General Securities Principal Examination

BC

Issued 05/11/2001

Series 4 - Registered Options Principal Examination

BC

Issued 01/05/2001

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 07/13/2000

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/08/1999

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Rolando Ruiz Bautista.
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