Ralph Phillip Baca
CFP®Professional Summary
Ralph Phillip Baca, CFP® is a registered financial advisor currently at SCHWAB WEALTH ADVISORY, INC. located in Indianapolis, Indiana and CHARLES SCHWAB & CO., INC. located in Indianapolis, Indiana. Ralph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Ralph has worked at 9 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 52 and Series 9 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.
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Credentials
Years of Experience
28 years in the financial services industry
Current & Past Employments
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Current Firm
SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. | SCHWAB WEALTH ADVISORY, INC.
Contact Information
Main Address
425 Market Street 17th Floor, San Francisco, CA 94105Phone Number
(415) 667-7000# of Employees
1,457SEC notice filing (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
Documents
Part 2 Brochures
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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Primary Firm SEC Registration
SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. | SCHWAB WEALTH ADVISORY, INC.
State Registrations and Notice Filings
(5/22/2025)
(10/21/2015)
(8/11/2015)
(8/11/2015)
(8/11/2015)
(8/11/2015)
(3/22/2017)
(8/11/2015)
(8/11/2015)
(8/11/2015)
(8/11/2015)
(8/12/2015)
(2/7/2024)
(11/15/2021)
(3/22/2017)
(8/11/2015)
(8/11/2015)
(8/11/2015)
(8/11/2015)
(11/24/2015)
(9/24/2024)
(2/7/2024)
(11/13/2024)
(6/6/2023)
(8/11/2015)
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(8/12/2015)
(8/12/2015)
(3/18/2025)
(11/18/2021)
(12/7/2015)
(8/11/2015)
(1/4/2022)
(7/16/2020)
(3/22/2023)
(2/10/2022)
(8/11/2015)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jan 2017About the Series 9 examSRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Ralph Phillip Baca's CRS (Customer Relationship Summary).
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