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RIA / WealthAdvisordual registered (broker-dealer)32 years in industry

MARK BRADFORD HERSMAN

Advisor at CHARLES SCHWAB & CO., INC.

Oakland, CA

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Search this name across graphsid dfx:ria:c548fb1a-3aae-0a00-9170-6fb8c04abf81

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:45 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Aug 30, 2005 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: Feb 1, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S63|S66
First exam: Aug 29, 2005
First registration: Aug 30, 2005
Dual registered: yes, broker-dealer
Other names: Mark Hersman
IAPD individual key: 1843075

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	Jul 1, 2021	n/a	yes	Oakland, CA	Current employment
Mazakali	n/a	Jun 11, 2019	Dec 31, 2021	no	Alameda, CA\|SAN FRANCISCO, CA	Previous registration
GROWTH CAPITAL SERVICES, INC.	n/a	Sep 19, 2018	May 3, 2019	no	SAN FRANCISCO, CA\|CLAYMONT, DE	Previous registration
CHARLES SCHWAB & CO., INC.	National bd RIA	Aug 30, 2005	Nov 30, 2016	no	SAN FRANCISCO, CA\|SAN FRANCISCO, CA\|SAN FRANCISCO, CA\|WESTLAKE, TX\|SAN FRANCISCO, CA\|SAN FRANCISCO, CA\|SAN FRANCISCO, CA\|ENGLEWOOD, CO\|SAN FRANCISCO, CA\|San Francisco, CA\|SAN FRANCISCO, CA	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
Mazakali	CHARLES SCHWAB & CO., INC.	Dec 31, 2021	Jul 1, 2021	-183	Firm change after gap	Other
GROWTH CAPITAL SERVICES, INC.	Mazakali	May 3, 2019	Jun 11, 2019	39	Firm change	Other
CHARLES SCHWAB & CO., INC.	GROWTH CAPITAL SERVICES, INC.	Nov 30, 2016	Sep 19, 2018	658	Firm change after gap	Other

Relationships

Registered with (3)

→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: previous registration
Aug 30, 2005 to Nov 30, 2016factForm ADV
→ MAZAKALIRegistered adviserregistration: previous registration
Jun 11, 2019 to Dec 31, 2021factForm ADV
→ GROWTH CAPITAL SERVICES, INC.Registered adviserregistration: previous registration
Sep 19, 2018 to May 3, 2019factForm ADV

Dated events

No dated event names this entity yet.