Mark G. Lichtbach
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.
Mark G. Lichtbach, who also goes by Mark Gary Lichtbach, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1976. Mark had worked at 18 firms and has passed the Series 63, SIE, Series 7, Series 1, Series 8, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 21, 1991 - January 26, 2015
CHARLES SCHWAB & CO., INC.
June 12, 1990 - August 9, 1990
FIRST AMERICA EQUITIES CORP.
May 22, 1989 - June 20, 1990
ROYCE PARK INVESTMENTS, INC.
April 10, 1989 - May 30, 1989
KOCHCAPITAL
February 22, 1989 - April 10, 1989
J. B. STERLING CORP. (INVESTMENT SECURITIES)
October 27, 1988 - January 3, 1989
NTB FINANCIAL CORPORATION
November 19, 1986 - February 4, 1988
PORTFOLIO ASSET MGT/USA FINANCIAL GROUP INC.
December 17, 1985 - July 23, 1987
HICKEY, KOBER, INCORPORATED
July 22, 1985 - November 15, 1985
POWER SECURITIES CORPORATION
April 29, 1985 - June 18, 1985
HAMILTON BOHNER, INC.
March 28, 1985 - April 29, 1985
NTB FINANCIAL CORPORATION
December 21, 1983 - December 27, 1984
RICHEY, FRANKEL & COMPANY
March 28, 1983 - December 15, 1983
DILLON SECURITIES, INC.
August 5, 1982 - August 1, 1983
PRESTIGE INVESTORS, INC.
March 2, 1982 - August 5, 1982
J DANIEL BELL & COMPANY, INC.
September 22, 1981 - March 2, 1982
G. S. OMNI CORPORATION
August 23, 1979 - October 30, 1981
BLINDER, ROBINSON & CO., INC.
May 1, 1979 - September 20, 1979
FIRST COLORADO INVESTMENTS & SECURITIES, INC.
January 13, 1976 - July 1, 1976
FORESTERS FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
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 1
Date: 1/8/1976
Registered Representative ExaminationSeries 8
Date: 3/4/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHWAB HOLDINGS, INC. | 100% OWNER | |
| BEATTY, JONATHAN SCOTT | DIRECTOR, MANAGING DIRECTOR AND HEAD OF ADVISOR SERVICES | 2429276 |
| CRAIG, JONATHAN M | PRESIDENT, DIRECTOR, MANAGING DIRECTOR AND HEAD OF INVESTOR SERVICES AND MARKETING | 4144656 |
| HATHI, NEESHA K | MANAGING DIRECTOR HEAD OF WEALTH & ADVICE SOLUTIONS | 2648997 |
| HOWARD, DENNIS WILLARD | MANAGING DIRECTOR AND CHIEF INFORMATION OFFICER | 6403083 |
| NICHOLS, CHARLES | MANAGING DIRECTOR AND BROKER DEALER & INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER | 4811434 |
| STARR, JEFFREY HAROLD | MANAGING DIRECTOR, AND OPERATIONAL SERVICES AND PRINCIPAL OPERATIONS OFFICER | 4700461 |
| VERDESCHI, MICHAEL DANIEL | MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 4570777 |
Disclosures
| Regulatory Event | 58 |
| Civil Event | 3 |
| Arbitration | 248 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/24/2025 | ||
| 01/19/2024 | ||
| 04/14/2023 |
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.
