Niva WealthLet’s talk

Mark Hunter

Chief Compliance Officer at Charles Schwab Investment Management

Broker registration; no current adviser registrationSEC record checked 17 October 2026

0
Past adviser firms
3
Licensing exams

IAPD record retrieved 17 October 2026SEC record

Mark Hunter is Chief Compliance Officer of Charles Schwab Investment Management, Inc, a San Francisco investment adviser managing $1.72T. Mark Hunter has a current broker registration and no current investment-adviser registration and has passed the Series 24, SIE and Series 28.

Role at Charles Schwab Investment Management

Title on Schedule A
Chief Compliance Officer
Control
Mark Hunter is not a control person of Charles Schwab Investment Management.
Ownership
An individual ownership band is not available in the source record.
Tenure
Mark Hunter has held the filed role since December 2024.

The firm

Charles Schwab Investment Management, Inc
San Francisco, CA

Form ADV filed 30 March 2026

$1.72T AUM856,597 clients175 advisers14 offices

Career on record

Firms and exams, newest first
  1. Passed Series 28 · 2020
  2. Passed SIE · 2018
  3. Passed Series 24 · 2004

Registrations and exams

Broker registration; no current adviser registration. Mark Hunter has passed 3 qualifying exams.

Examinations

Series 2811 December 2020
Name
Introducing Broker/Dealer Financial Operations Principal Examination
Series 2425 June 2004
Name
General Securities Principal Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination

Individual record

Full name
Mark Hunter
CRD
4781778
Firm
Charles Schwab Investment Management, Inc
Registration status
Broker registration; no current adviser registration
Firm bio
schwabassetmanagement.com

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Background

Schwab Asset Management says Mark Hunter leads compliance for Schwab Asset Management and the Schwab Funds and ETFs; he previously held compliance roles at Dimensional and Janus Henderson. Schwab Asset Management biography

Education

Credentials and memberships

Common questions

Where does Mark Hunter work?

Mark Hunter has been Chief Compliance Officer of Charles Schwab Investment Management, Inc since December 2024.

Source: Form ADV, Schedule A, filed 30 March 2026

Does Mark Hunter have a current investment-adviser registration?

Mark Hunter has a current broker registration and no current investment-adviser registration, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

What exams has Mark Hunter passed?

Mark Hunter has passed 3 licensing exams: the Series 24, SIE and Series 28. The earliest, the Series 24, was passed in June 2004.

Source: IAPD individual record, checked 17 October 2026

Leadership at Charles Schwab Investment Management

Sources

  1. IAPD individual record, CRD 4781778. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Charles Schwab Investment Management, Inc, filed 30 March 2026. Title, control and ownership bands.
  3. Charles Schwab Investment Management team page. Biography, education, credentials, awards.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Mark Hunter or Charles Schwab Investment Management, Inc and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.