Mi-Song Yun

CRD 5056314 · Charles Schwab & Co., Inc. · Houston, TX

IA RegisteredBroker

Also appears in the source record as: Mi Song Hajali; Shawna Hajali; Mi Song Smith; Shawna Smith; Shawna Song Smith; Mi Song Yun

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): SIESeries 7Series 65Series 63
Registered states (38): Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Florida · Idaho · Illinois · Iowa · Kansas · Louisiana · Maine · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Oklahoma · Oregon · Pennsylvania · South Carolina · Tennessee · Texas · Utah · Virginia · Washington · Wisconsin · Wyoming
Years in the industry (source record): 13
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 (15)

From the source registration record · current first

Charles Schwab & Co., Inc.Current
Houston, TX · IA capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
Houston, TX · BC capacity

start not retrieved → present
Td Ameritrade, Inc.
Houston, TX · BC capacity

Nov 4, 2021 → May 11, 2024
Td Ameritrade Investment Management, LLC
Houston, TX · IA capacity

Nov 4, 2021 → Sep 7, 2023
Td Ameritrade, Inc.
Houston, TX · IA capacity

Nov 4, 2021 → Oct 14, 2022
Fidelity Personal And Workplace Advisors
The Woodlands, TX · IA capacity

Feb 4, 2020 → Oct 19, 2021
Fidelity Brokerage Services LLC
Houston, TX · BC capacity

Jan 29, 2020 → Oct 19, 2021
Lpl Financial LLC
Houston, TX · BC capacity

Apr 16, 2018 → Jan 15, 2020
Sovereign Wealth Advisors LLC
Houston, TX · IA capacity

Apr 24, 2018 → Dec 31, 2019
Ubs Financial Services Inc.
Houston, TX · BC capacity

Mar 9, 2015 → May 20, 2016
Ubs Financial Services Inc.
Houston, TX · IA capacity

Mar 6, 2015 → May 20, 2016
Waddell & Reed
San Antonio, TX · IA capacity

Sep 28, 2012 → Apr 4, 2014
Waddell & Reed
San Antonio, TX · BC capacity

Aug 31, 2012 → Apr 4, 2014
Chase Investment Services Corp.
San Antonio, TX · BC capacity

Apr 14, 2011 → Mar 14, 2012
Usaa Financial Advisors, Inc.
San Antonio, TX · BC capacity

Apr 17, 2009 → Apr 26, 2010

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 5056314 ↗ FINRA BrokerCheck record for CRD 5056314 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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