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RALPH PHILLIP BACA
CRD#: 3133210
IA
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SCHWAB WEALTH ADVISORY, INC.CRD#: 159035 8332 WOODFIELD CROSSING BLVD
INDIANAPOLIS, IN 46240
INDIANAPOLIS, IN 46240
CHARLES SCHWAB & CO., INC.CRD#: 5393 8332 Woodfield Crossing Blvd
Indianapolis, IN 46240-2482
Indianapolis, IN 46240-2482
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Disclosures
19
Years of Experience
View By:
State Registrations
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Arizona 10/21/2015
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Minnesota 11/24/2015
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Arkansas 8/11/2015
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Missouri 9/24/2024
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California 8/11/2015
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Montana 2/7/2024
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Colorado 8/11/2015
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Nebraska 11/13/2024
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Connecticut 8/11/2015
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New Hampshire 6/6/2023
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District of Columbia 3/22/2017
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New Jersey 8/11/2015
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Florida 8/11/2015
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New York 8/11/2015
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Georgia 8/11/2015
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North Carolina 8/12/2015
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Illinois 8/11/2015
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Ohio 8/12/2015
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Indiana 8/11/2015
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South Carolina 11/18/2021
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Indiana 8/12/2015
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Tennessee 12/7/2015
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Iowa 2/7/2024
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Texas 8/11/2015
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Kansas 11/15/2021
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Texas 1/4/2022
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Kentucky 3/22/2017
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Virginia 7/16/2020
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Louisiana 8/11/2015
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Washington 3/22/2023
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Maryland 8/11/2015
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West Virginia 2/10/2022
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Massachusetts 8/11/2015
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Wisconsin 8/11/2015
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Michigan 8/11/2015
SRO Registrations
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Registered with this firm since 8/12/2015
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Registered with this firm since 8/11/2015
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/18/2013 - 06/30/2015 | HOUSTON, TX | |
B | 01/18/2013 - 06/30/2015 | HOUSTON, TX | |
IA | 07/26/2011 - 02/01/2013 | HOUSTON, TX | |
B | 05/09/2011 - 02/01/2013 | HOUSTON, TX | |
B | 06/02/2004 - 12/06/2005 | BIRMINGHAM, AL | |
IA | 01/30/2004 - 05/21/2004 | DALLAS, TX | |
B | 01/30/2004 - 05/21/2004 | CHICAGO, IL | |
IA | 04/17/2003 - 06/11/2003 | PASADENA, TX | |
B | 01/28/2003 - 06/11/2003 | JERSEY CITY, NJ | |
B | 09/14/2000 - 10/29/2002 | WESTLAKE, TX | |
B | 03/19/2001 - 07/17/2001 | AUSTIN, TX | |
B | 11/18/1998 - 07/24/2000 | DETROIT, MI |
PASADENA, TX
04/17/2003 - 06/11/2003
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.