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Detailed Report
ROBERT A BARAGA
ROBERT ARMANDO BARAGA
CRD#: 3145963
IA
Investment Adviser
B
Broker
CHARLES SCHWAB & CO., INC.CRD#: 5393 680 East Colorado Blvd
Suite 100
Pasadena, CA 91101
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS1999 - 2003 (4 years)2 FIRMS2003 - Present (21 years)
License(s)

State Registrations

B
Arizona 9/20/2005
B
Nevada 10/21/2004
B
California 5/8/2003
B
New Jersey 3/28/2019
IA
California 5/8/2003
B
New York 6/13/2005
B
Colorado 12/10/2009
B
Oregon 2/16/2005
B
District of Columbia 6/8/2016
B
Pennsylvania 3/26/2024
B
Florida 10/2/2009
B
Texas 2/13/2007
B
Hawaii 2/4/2015
IA
Texas 1/4/2019
B
Illinois 12/18/2009
B
Utah 3/28/2019
B
Indiana 5/31/2022
B
Virginia 3/2/2023
B
Kansas 9/20/2005
B
Washington 9/16/2009
B
Massachusetts 12/18/2009
B
Wisconsin 9/16/2009
B
Montana 8/8/2017
B
Wyoming 5/21/2020

SRO Registrations

B
 FINRA
B
 Nasdaq Stock Market

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CHARLES SCHWAB & CO., INC. (CRD#:5393)
680 East Colorado Blvd Suite 100, Pasadena, CA 91101
Registered with this firm since 5/8/2003
B
CHARLES SCHWAB & CO., INC. (CRD#:5393)
680 East Colorado Blvd Suite 100, Pasadena, CA 91101
Registered with this firm since 5/8/2003
Previous Registration(s)
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IA
 02/16/1999 - 04/28/2003 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) LOS ANGELES, CA
B
 01/27/1999 - 04/28/2003 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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.
IA
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
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.