Mark Matthew Martiak

CRD 4607789 · Charles Schwab & Co., Inc. · New York City, NY

IA RegisteredBroker

Also appears in the source record as: Mark Martiak

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (3): SIESeries 7Series 66
Registered states (11): Arizona · California · Florida · Maryland · Massachusetts · New Jersey · New York · North Carolina · South Carolina · Virginia · Washington
Years in the industry (source record): 23
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 (15)

From the source registration record · current first

Charles Schwab & Co., Inc.Current
New York City, NY · BC capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
New York City, NY · IA capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
New York City, NY · IA capacity

start not retrieved → present
Lpl Enterprise, LLC
New York, NY · IA capacity

Nov 14, 2024 → Feb 13, 2026
Lpl Enterprise, LLC
New York, NY · BC capacity

Nov 14, 2024 → Feb 13, 2026
Prudential Financial Planning Services
New York, NY · IA capacity

Dec 5, 2023 → Nov 14, 2024
Pruco Securities, LLC.
New York, NY · BC capacity

Dec 5, 2023 → Nov 14, 2024
A.G.P / Alliance Global Partners
New York, NY · IA capacity

Aug 21, 2019 → Dec 4, 2023
A.G.P. / Alliance Global Partners
New York, NY · BC capacity

Aug 8, 2019 → Dec 4, 2023
Premier Wealth Advisors, LLC
New York, NY · IA capacity

May 18, 2015 → Aug 16, 2019
First Allied Advisory Services, Inc.
New York, NY · IA capacity

Jan 14, 2013 → Aug 12, 2019
First Allied Securities, Inc.
New York, NY · BC capacity

Apr 3, 2009 → Aug 12, 2019
Ubs Financial Services Inc.
New York, NY · BC capacity

Sep 19, 2003 → Apr 15, 2009
Merrill Lynch Pierce Fenner & Smith Inc.
New York, NY · IA capacity

Jun 18, 2003 → Jul 8, 2003
Merrill Lynch, Pierce, Fenner & Smith Incorporated
New York, NY · BC capacity

Mar 10, 2003 → Jul 8, 2003

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 4607789 ↗ FINRA BrokerCheck record for CRD 4607789 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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