Raphael Alberto Anaya

CRD 6979920 · Charles Schwab & Co., Inc. · San Francisco, CA

IA RegisteredBroker

Also appears in the source record as: Raphael Anaya; Rapha Anaya; Raphael A Anaya

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): Series 7TOSIESeries 6Series 66Series 63
Registered states (1): California
Years in the industry (source record): 7
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 6979920 contains one or more disclosure events as of Aug 20, 2026.

findmyFA.app does not reproduce, summarise, characterise, or interpret the content of disclosure events. A disclosure event is a category of entry in a regulatory record; it is not, by itself, a finding of wrongdoing. Read the events in full on the official systems:

FINRA BrokerCheck ↗ · 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 (6)

From the source registration record · current first

Charles Schwab & Co., Inc.Current
Walnut Creek, CA · IA capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
San Francisco, CA · BC capacity

start not retrieved → present
Wells Fargo Clearing Services, LLC
Pleasant Hill, CA · IA capacity

Sep 27, 2021 → Jun 22, 2022
Wells Fargo Clearing Services, LLC
Pleasant Hill, CA · BC capacity

May 1, 2020 → Jun 22, 2022
Lpl Financial LLC
Concord, CA · BC capacity

Aug 29, 2019 → Apr 17, 2020
J.P. Morgan Securities LLC
Concord, CA · BC capacity

Jul 27, 2018 → Aug 14, 2019

Source & corrections

Where this page comes from

Advisor registration data on this site is reproduced from the SEC's Investment Adviser Public Disclosure (IAPD) system and FINRA's BrokerCheck. Those systems are the official records; this site is not. We do not alter the factual content of the records we reproduce.

SEC IAPD record for CRD 6979920 ↗ FINRA BrokerCheck record for CRD 6979920 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

Data compiled Aug 20, 2026. Source: BROKERCHECK. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.

Preview release — partial coverage. This is a public-records lookup tool, not investment advice, not a recommendation, and not an endorsement of any advisor. Registration status shown here is a copy of a government record and may be out of date; always confirm against SEC IAPD and FINRA BrokerCheck before acting.