Ralph P. Baca

SCHWAB WEALTH ADVISORY

INDIANAPOLIS, IN 46240-2482

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CRD#: 3133210

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.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ralph Phillip Baca's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Experience

Current

August 12, 2015 - Present

SCHWAB WEALTH ADVISORY, INC.

Office #1: 8332 Woodfield Crossing Blvd, Indianapolis, IN 46240-2482

RIA

CRD#: 159035

INDIANAPOLIS, IN

Current

August 11, 2015 - Present

CHARLES SCHWAB & CO., INC.

Office #1: 8332 Woodfield Crossing Blvd, Indianapolis, IN 46240-2482

RIA

CRD#: 5393

Indianapolis, IN

Past

January 18, 2013 - June 30, 2015

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA

CRD#: 20472

HOUSTON, TX

Past

January 18, 2013 - June 30, 2015

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472

HOUSTON, TX

Past

July 26, 2011 - February 1, 2013

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

HOUSTON, TX

Past

May 9, 2011 - February 1, 2013

CHARLES SCHWAB & CO., INC.

CRD#: 5393

HOUSTON, TX

Past

June 2, 2004 - December 6, 2005

BBVA COMPASS INVESTMENT SOLUTIONS, INC

CRD#: 17086

BIRMINGHAM, AL

Past

January 30, 2004 - May 21, 2004

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

DALLAS, TX

Past

January 30, 2004 - May 21, 2004

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

CHICAGO, IL

Past

April 17, 2003 - June 11, 2003

E*TRADE ADVISORY SERVICES, INC.

RIA

CRD#: 111178

PASADENA, TX

Past

January 28, 2003 - June 11, 2003

E*TRADE SECURITIES LLC

CRD#: 29106

JERSEY CITY, NJ

Past

March 19, 2001 - July 17, 2001

CYBERTRADER, INC.

CRD#: 44523

AUSTIN, TX

Past

September 14, 2000 - October 29, 2002

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

November 18, 1998 - July 24, 2000

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

DETROIT, MI

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SCHWAB WEALTH ADVISORY, INC.

SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. | SCHWAB WEALTH ADVISORY, INC.

CRD#: 159035 / SEC#: 801-72795

RIA

Registered Investment Advisory firm - (12/9/2011 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(5/22/2025)

Arizona
(10/21/2015)

Arkansas
(8/11/2015)

California
(8/11/2015)

Colorado
(8/11/2015)

Connecticut
(8/11/2015)

District of Columbia
(3/22/2017)

Florida
(8/11/2015)

Georgia
(8/11/2015)

Illinois
(8/11/2015)

Indiana
(8/11/2015)

IAR

Indiana
(8/12/2015)

Iowa
(2/7/2024)

Kansas
(11/15/2021)

Kentucky
(3/22/2017)

Louisiana
(8/11/2015)

Maryland
(8/11/2015)

Massachusetts
(8/11/2015)

Michigan
(8/11/2015)

Minnesota
(11/24/2015)

Missouri
(9/24/2024)

Montana
(2/7/2024)

Nebraska
(11/13/2024)

New Hampshire
(6/6/2023)

New Jersey
(8/11/2015)

New York
(8/11/2015)

North Carolina
(8/12/2015)

Ohio
(8/12/2015)

Pennsylvania
(3/18/2025)

South Carolina
(11/18/2021)

Tennessee
(12/7/2015)

Texas
(8/11/2015)

IAR

Texas
(1/4/2022)

Virginia
(7/16/2020)

Washington
(3/22/2023)

West Virginia
(2/10/2022)

Wisconsin
(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

State Security Law Exam

IAR

Series 66

Date: 7/25/2011

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 4/15/2003

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/19/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/7/2011

General Securities Representative Examination

General Industry/Product Exam

Series 52

Date: 11/12/1998

Municipal Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 1/23/2017

General Securities Sales Supervisor - Options Module Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

SCHWAB WEALTH ADVISORY, INC.

SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. | SCHWAB WEALTH ADVISORY, INC.

CRD#: 159035 / SEC#: 801-72795

RIA

Registered Investment Advisory firm - (12/9/2011 Approved)

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Contact information

Main Address

211 Main Street, San Francisco, CA 94105-1901

Mailing Address

Phone number

(415) 667-7000

Established

Firm type

Fiscal year end

# of Employees

1,042

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SCHWAB WEALTH ADVISORY, INC. DISCLOSURE BROCHURE (9/23/2025)

Red Flags

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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Ralph P. Baca

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ralph Phillip Baca's CRS (Customer Relationship Summary).

Certified licenses

Experience

CHARLES SCHWAB & CO., INC.

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

BBVA COMPASS INVESTMENT SOLUTIONS, INC

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

E*TRADE ADVISORY SERVICES, INC.

E*TRADE SECURITIES LLC

CYBERTRADER, INC.

CHARLES SCHWAB & CO., INC.

AMERIPRISE ADVISOR SERVICES, INC.

Primary Firm SEC Registration

SCHWAB WEALTH ADVISORY, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 7/25/2011

Series 65

Date: 4/15/2003

Series 63

Date: 11/19/1998

SIE

Date: 10/1/2018

Series 7

Date: 5/7/2011

Series 52

Date: 11/12/1998

Series 9

Date: 1/23/2017

FINRA

Nasdaq Stock Market

Current Firm

SCHWAB WEALTH ADVISORY, INC.

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Red Flags

Company Information

SCHWAB WEALTH ADVISORY, INC.

TRUST BUT VERIFY

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