Emanuel Tomas Roa
Investment Adviser Representative at Charles Schwab & Co., Inc.
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Emanuel Tomas Roa is an investment adviser representative with Charles Schwab & Co., Inc. in Bellevue, WA, where they have been registered since 2026. They have worked in the securities industry since 2020 and have been registered with 4 firms, including Mainsail Financial Group and Fidelity Personal and Workplace Advisors. They have passed 3 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent) and Series 7 (general securities representative). They are registered to provide investment advice in Washington.
Office
Advisors at this office: 34
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- Washington
- Broker:
2 states and territories
Nevada, Washington
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Penn Mutual Life Insurance CompanyJul 2019 – Apr 2021Horsham, PA
- Hornor, Townsend & Kent, LLCJul 2019 – Jan 2021Horsham, PA
- Independent Colleges of WashingtonNov 2018 – Jun 2019Seattle, WA
- Seattle Pacific UniversityJan 2015 – Jun 2019Seattle, WA
- HypecheckJun 2017 – Oct 2018Yakima, WA
- Abercrombie and FitchOct 2016 – Jun 2017Seattle, WA
- EFinancialJan 2021 – Apr 2021Bellevue, WA
- Fidelity InvestmentsApr 2021 – Jan 2025Salt Lake City, UT
- Pacific Capital Resource GroupJun 2019 – Jan 2022Bellevue, WA
- E-FinancialJan 2022 – Mar 2022Bellevue, WA
- Fidelity InvestmentsApr 2022 – Jan 2025Seattle, WA
- Mainsail Financial GroupJan 2025 – Sep 2025Bellevue, WA
- Mainsail Financial Group, LLCJan 2025 – Sep 2025Bellevue, WA
- Charles Schwab & Co., Inc.Dec 2025 – no end date reportedBellevue, WA
- Charles Schwab BankDec 2025 – no end date reportedBellevue, WA
- UnemployedOct 2025 – Nov 2025Bellevue, WA
Official records & sources
Data as of August 11, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Charles Schwab & Co., Inc.
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Fixed fee
- Other
- Firm account minimum
- $500,000
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Unknown
Client types the firm serves
Unknown
Firm assets under management
Unknown
- Firm disclosures (Form ADV)
- Unknown
Source: firm Form ADV filing
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Emanuel Tomas Roa has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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