Regina Jui Chieh Tsai

CRD 4800943 · Charles Schwab & Co., Inc. · San Francisco, CA

IA RegisteredBroker

Also appears in the source record as: Regina J. Tsai; Regina Jui-Chieh Tsai

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): SIESeries 7Series 10Series 9Series 66
Registered states (29): Arizona · California · Connecticut · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Maryland · Massachusetts · Minnesota · Missouri · Nevada · New Hampshire · New Mexico · New York · North Carolina · Ohio · Oklahoma · Oregon · Pennsylvania · Rhode Island · Tennessee · Texas · Virginia · Washington · Wisconsin
Years in the industry (source record): 21
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

Schwab Wealth Advisory, Inc.Current
San Francisco, CA · IA capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
San Francisco, CA · BC capacity

start not retrieved → present
B|o|s
San Francisco, CA · IA capacity

Dec 7, 2016 → May 2, 2017
Usaa Financial Planning Services
San Francisco, CA · IA capacity

Dec 12, 2013 → Jul 22, 2016
Usaa Financial Advisors, Inc.
San Francisco, CA · BC capacity

Dec 12, 2013 → Jul 22, 2016
Mutual Of America Securities Corporation
Rockville, MD · BC capacity

Apr 9, 2007 → Nov 18, 2013
Mutual Of America Life Insurance Company
Rockville, MD · BC capacity

Apr 9, 2007 → Nov 18, 2013
H. Beck, Inc.
Rockville, MD · IA capacity

Mar 23, 2005 → Apr 9, 2007
H. Beck, Inc.
Rockville, MD · BC capacity

Mar 23, 2005 → Apr 9, 2007
Legg Mason Wood Walker Inc
Bethesda, MD · IA capacity

Oct 4, 2004 → Mar 3, 2005
Legg Mason Wood Walker, Incorporated
Baltimore, MD · BC capacity

Jul 7, 2004 → Mar 3, 2005

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 4800943 ↗ FINRA BrokerCheck record for CRD 4800943 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

Data compiled Aug 20, 2026. Source: BROKERCHECK. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.

Preview release — partial coverage. This is a public-records lookup tool, not investment advice, not a recommendation, and not an endorsement of any advisor. Registration status shown here is a copy of a government record and may be out of date; always confirm against SEC IAPD and FINRA BrokerCheck before acting.