Brian P. Bakaysa
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Brian Paul Bakaysa, who also goes by Brian P Bakaysa, was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1993. Brian had worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 9, Series 10, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 22, 2022 - September 26, 2022
SCHWAB WEALTH ADVISORY, INC.
August 7, 2008 - December 31, 2008
401(K) INVESTMENT SERVICES, INC.
August 16, 2002 - January 10, 2024
CHARLES SCHWAB & CO., INC.
April 1, 1993 - January 10, 2024
CHARLES SCHWAB & CO., INC.
Primary Firm SEC Registration
SCHWAB WEALTH ADVISORY, INC.
CRD#: 159035 / SEC#: 801-72795
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 4/4/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SCHWAB WEALTH ADVISORY, INC.
CRD#: 159035 / SEC#: 801-72795
Contact information
SEC notice filing (53 States and Territories)
Red Flags
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