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RIA / WealthAdvisordual registered (broker-dealer)23 years in industry

MARK MATTHEW MARTIAK

Advisor at CHARLES SCHWAB & CO., INC.

New York City, NY

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Search this name across graphsid dfx:ria:31b3e026-5991-f27a-cc62-db29b40ba767

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 3:28 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 2
On other graphs: 0
Observed: Jun 18, 2003 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CHARLES SCHWAB & CO., INC.
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 11, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Jun 11, 2003
First registration: Jun 18, 2003
Dual registered: yes, broker-dealer
Other names: MARK MARTIAK
IAPD individual key: 4607789

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CHARLES SCHWAB & CO., INC.	National bd RIA	Feb 14, 2026	n/a	yes	New York City, NY\|New York City, NY	Current employment
LPL ENTERPRISE, LLC	Bd affiliated wealth	Nov 14, 2024	Feb 13, 2026	no	NEW YORK, NY\|PARAMUS, NJ	Previous registration
PRUCO SECURITIES, LLC	No RAUM reported	Dec 5, 2023	Nov 14, 2024	no	New York, NY\|PARAMUS, NJ	Previous registration
A.G.P / ALLIANCE GLOBAL PARTNERS	Independent wealth	Aug 8, 2019	Dec 4, 2023	no	New York, NY	Previous registration
PREMIER WEALTH ADVISORS, LLC	Independent wealth	May 18, 2015	Aug 16, 2019	no	NEW YORK, NY	Previous registration
FIRST ALLIED ADVISORY SERVICES, INC.	Former SEC adviser	Jan 14, 2013	Aug 12, 2019	no	NEW YORK, NY	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jun 18, 2003	Jul 8, 2003	no	NEW YORK, NY	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
LPL ENTERPRISE, LLC	CHARLES SCHWAB & CO., INC.	Feb 13, 2026	Feb 14, 2026	1	Firm change	Ibd to ibd
PRUCO SECURITIES, LLC	LPL ENTERPRISE, LLC	Nov 14, 2024	Nov 14, 2024	0	Bulk transfer	Ibd to new firm
A.G.P / ALLIANCE GLOBAL PARTNERS	PRUCO SECURITIES, LLC	Dec 4, 2023	Dec 5, 2023	1	Firm change	RIA to ibd
PREMIER WEALTH ADVISORS, LLC	A.G.P / ALLIANCE GLOBAL PARTNERS	Aug 16, 2019	Aug 8, 2019	-8	Firm change	RIA to ibd
FIRST ALLIED ADVISORY SERVICES, INC.	PREMIER WEALTH ADVISORS, LLC	Aug 12, 2019	May 18, 2015	-1,547	Firm change after gap	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	FIRST ALLIED ADVISORY SERVICES, INC.	Jul 8, 2003	Jan 14, 2013	3,478	Firm change after gap	Other

Relationships

Registered with (7)

→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: current employment
Feb 14, 2026 to presentfactForm ADV
→ LPL ENTERPRISE, LLCRegistered adviserregistration: previous registration
Nov 14, 2024 to Feb 13, 2026factForm ADV
→ PRUCO SECURITIES, LLCRegistered adviserregistration: previous registration
Dec 5, 2023 to Nov 14, 2024factForm ADV
→ A.G.P / ALLIANCE GLOBAL PARTNERSRegistered adviserregistration: previous registration
Aug 8, 2019 to Dec 4, 2023factForm ADV
→ PREMIER WEALTH ADVISORS, LLCRegistered adviserregistration: previous registration
May 18, 2015 to Aug 16, 2019factForm ADV
→ FIRST ALLIED ADVISORY SERVICES, INC.Registered adviserregistration: previous registration
Jan 14, 2013 to Aug 12, 2019factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jun 18, 2003 to Jul 8, 2003factForm ADV

Dated events

Occurred
Feb 13, 2026
Advisor changed firm
Mark Matthew Martiak left Lpl Enterprise, Llc for Charles Schwab & Co., Inc. (registered 2026-02-14)
Form ADVobserved 5 days ago
Occurred
Dec 4, 2023
Advisor changed firm
Mark Matthew Martiak left A.G.P / Alliance Global Partners for Pruco Securities, Llc (registered 2023-12-05)
Form ADVobserved 5 days ago