Sunny Hong Gao

CRD 4754784 · Charles Schwab & Co., Inc. · Naperville, IL

IA RegisteredBroker

Also appears in the source record as: Hong Sunny Gao; Hong Gao

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (3): SIESeries 7Series 63
Registered states (32): Alabama · Arizona · Arkansas · California · Colorado · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Massachusetts · Michigan · Minnesota · Missouri · Nevada · New Hampshire · New Mexico · New York · North Carolina · Ohio · Oregon · Pennsylvania · South Carolina · Tennessee · Texas · Utah · Virginia · Washington · Wisconsin · Wyoming
Years in the industry (source record): 19
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 (9)

From the source registration record · current first

Charles Schwab & Co., Inc.Current
Naperville, IL · BC capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
Naperville, IL · IA capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
Naperville, IL · IA capacity

start not retrieved → present
Calamos Financial Services LLC
Naperville, IL · BC capacity

May 7, 2007 → Jan 12, 2009
Calamos Advisors LLC
Naperville, IL · IA capacity

Apr 23, 2007 → Jan 12, 2009
Harris Investor Services, Inc.
Chicago, IL · BC capacity

Dec 16, 2005 → Apr 27, 2007
Harrisdirect LLC
Jersey City, NJ · BC capacity

Sep 26, 2005 → Dec 31, 2005
Ubs Global Asset Management (US) Inc.
New York, NY · BC capacity

Apr 20, 2004 → Jul 21, 2004
Ubs Global Asset Management (US) Inc.
Chicago, IL · IA capacity

Feb 9, 2004 → Jul 21, 2004

Source & corrections

Where this page comes from

Advisor registration data on this site is reproduced from the SEC's Investment Adviser Public Disclosure (IAPD) system and FINRA's BrokerCheck. Those systems are the official records; this site is not. We do not alter the factual content of the records we reproduce.

SEC IAPD record for CRD 4754784 ↗ FINRA BrokerCheck record for CRD 4754784 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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