Kwai Yun Chan

CRD 4077468 · Charles Schwab & Co., Inc. · Forest Hills, NY

IA RegisteredBroker

Also appears in the source record as: Kwai Chan; Clara Chan

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (12): Series 57TOSeries 52TOSIESeries 55Series 7Series 53Series 4Series 9Series 10Series 24Series 65Series 63
Registered states (1): New York
Years in the industry (source record): 26
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or 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 (11)

From the source registration record · current first

Charles Schwab & Co., Inc.Current
Forest Hills, NY · BC capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
Forest Hills, NY · IA capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
Forest Hills, NY · IA capacity

start not retrieved → present
Td Ameritrade, Inc.
Forest Hills, NY · BC capacity

Feb 26, 2018 → Dec 31, 2023
Td Ameritrade Investment Management, LLC
Forest Hills, NY · IA capacity

Feb 26, 2018 → Sep 7, 2023
Td Ameritrade, Inc.
Forest Hills, NY · IA capacity

Feb 27, 2018 → Oct 14, 2022
Scottrade Investment Management
Saint Louis, MO · IA capacity

Mar 29, 2017 → Feb 26, 2018
Scottrade, Inc.
Flushing, NY · BC capacity

Apr 27, 2010 → Feb 26, 2018
Hsbc Securities (USA) Inc.
Elmhurst, NY · IA capacity

Feb 23, 2010 → Apr 19, 2010
Hsbc Securities (USA) Inc.
Elmhurst, NY · BC capacity

Feb 23, 2010 → Apr 19, 2010
Hsbc Brokerage (USA) Inc.
New York, NY · BC capacity

Jan 2, 2000 → Jan 1, 2005

Source & corrections

Where this page comes from

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