Kai-Yuan Hu

CRD 5329867 · Charles Schwab & Co., Inc. · Rowland Heights, CA

IA RegisteredBroker

Also appears in the source record as: Kai Yuan Hu; Kai Hu; Kai Yuan Hu; Kyle Hu

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): SIESeries 7Series 6Series 65Series 63
Registered states (10): Arizona · California · Massachusetts · Nevada · New York · North Carolina · Tennessee · Texas · Utah · Virginia
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 (10)

From the source registration record · current first

Charles Schwab & Co., Inc.Current
Rowland Heights, CA · IA capacity

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

start not retrieved → present
Prudential Financial Planning Services
Irvine, CA · IA capacity

Dec 16, 2020 → Feb 7, 2022
Pruco Securities, LLC.
Irvine, CA · BC capacity

Dec 16, 2020 → Feb 7, 2022
Ameriprise Financial Services, LLC.
Irvine, CA · IA capacity

May 9, 2019 → Dec 18, 2020
Ameriprise Financial Services, LLC
Irvine, CA · BC capacity

May 9, 2019 → Dec 18, 2020
Cetera Investment Advisers LLC
Rowland Heights, CA · IA capacity

Jan 2, 2018 → Apr 23, 2019
Cetera Investment Services LLC
Rowland Heights, CA · BC capacity

Jan 2, 2018 → Apr 23, 2019
J.P. Morgan Securities LLC
Irvine, CA · BC capacity

Sep 30, 2016 → Nov 30, 2016
Chase Investment Services Corp.
Irvine, CA · BC capacity

Jul 11, 2012 → Oct 1, 2012

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 5329867 ↗ FINRA BrokerCheck record for CRD 5329867 ↗ 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.