Marcela Garcia-Dungy

CRD 4199534 · Charles Schwab & Co., Inc. · Los Gatos, CA

IA RegisteredBroker

Also appears in the source record as: Marcela B Garcia; Marcela Garcia

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): SIESeries 7Series 65Series 63
Registered states (19): Arizona · California · Colorado · Florida · Hawaii · Idaho · Illinois · Maryland · Nebraska · Nevada · New Jersey · New York · North Carolina · Ohio · Oregon · Tennessee · Texas · Virginia · Washington
Years in the industry (source record): 24
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Charles Schwab & Co., Inc.
Firm CRD: 5393
SEC number: 801-29938
Assets under management: Not yet retrieved from the source record
Website: www.linkedin.com/COMPANY/SCHWAB-ADVISOR-SERVICES ↗
Phone: 415-667-7000
Firm location: San Francisco, CA, 94105

Employment history (8)

From the source registration record · current first

Charles Schwab & Co., Inc.Current
Los Gatos, CA · BC capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
Los Gatos, CA · IA capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
Los Gatos, CA · IA capacity

start not retrieved → present
Banc Of America Investment Services, Inc.
Fresno, CA · IA capacity

Sep 16, 2005 → Apr 28, 2009
Banc Of America Investment Services, Inc.
Fresno, CA · BC capacity

Sep 16, 2005 → Apr 28, 2009
Ubs Painewebber Inc.
Carlsbad, CA · IA capacity

Jul 27, 2001 → Sep 11, 2002
Ubs Painewebber Inc.
Weehawken, NJ · BC capacity

Jul 6, 2001 → Sep 11, 2002
Salomon Smith Barney Inc.
New York, NY · BC capacity

Jun 26, 2000 → Jul 11, 2001

Source & corrections

Where this page comes from

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