Paulina Wong

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 (1)

California

Years in the industry (source record)

14

Professional designations

Not yet retrieved from the source record

Disclosures

Copied from the official record

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

  San Bruno, CA · IA capacity
  start not retrieved → present
• Charles Schwab & Co., Inc.Current

  Westlake, TX · BC capacity
  start not retrieved → present
• Morgan Stanley

  San Francisco, CA · IA capacity
  Sep 29, 2021 → May 4, 2026
• Morgan Stanley

  San Francisco, CA · BC capacity
  Sep 29, 2021 → May 4, 2026
• J.P. Morgan Securities LLC

  San Francisco, CA · IA capacity
  Sep 22, 2017 → Sep 4, 2021
• J.P. Morgan Securities LLC

  San Francisco, CA · BC capacity
  Sep 22, 2017 → Sep 4, 2021
• Neuberger Berman Bd LLC

  San Francisco, CA · IA capacity
  May 5, 2015 → Sep 13, 2017
• Neuberger Berman Bd LLC

  San Francisco, CA · BC capacity
  May 4, 2015 → Sep 13, 2017
• Ubs Financial Services Inc.

  San Mateo, CA · IA capacity
  Apr 18, 2014 → May 11, 2015
• Ubs Financial Services Inc.

  San Mateo, CA · BC capacity
  Apr 17, 2014 → May 11, 2015
• Credit Suisse Securities (USA) LLC

  San Francisco, CA · IA capacity
  Jul 11, 2012 → Apr 17, 2014
• Credit Suisse Securities (USA) LLC

  San Francisco, CA · BC capacity
  Jul 10, 2012 → Apr 17, 2014
• Rand & Associates, LLC

  San Francisco, CA · IA capacity
  Dec 22, 2011 → Jul 6, 2012
• San Francisco Sentry Investment Group

  San Francisco, CA · IA capacity
  Nov 5, 2011 → Jul 6, 2012
• S F Sentry Securities, Inc.

  San Francisco, CA · BC capacity
  Oct 7, 2011 → Jul 6, 2012

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.

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