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Andrew Kim Yi

Charles Schwab & Co., Inc.

Frisco, TX

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Current Employers
Charles Schwab & Co., Inc.

425 Market Street 17Th Floor, San Francisco, CA 94105 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2022-01-26
  • TX RA
    APPROVED
    Since 2022-01-26

Branch Locations

6765 Winning Drive Suite 825, Frisco, TX 75034 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Td Ameritrade Plano TX 05/2016 12/2022
Charles Schwab And Co., Inc. Plano TX 12/2022 Present
Charles Schwab Bank Plano TX 07/2022 Present
  • 05/2016 → 12/2022
    Td Ameritrade
    Plano, TX
  • 12/2022 → Present
    Charles Schwab And Co., Inc.
    Plano, TX
  • 07/2022 → Present
    Charles Schwab Bank
    Plano, TX
Previous Registrations
  • 2016-06-07 → 2023-09-07
    Td Ameritrade Investment Management, Llc
    Plano, TX
    Frisco, TX
  • 2016-06-07 → 2022-10-14
    Td Ameritrade, Inc.
    Plano, TX
    Frisco, TX
    Omaha, NE
  • 2010-01-06 → 2016-05-31
    Charles Schwab & Co., Inc.
    Dallas, TX
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-12-30
S63 Uniform Securities Agent State Law Examination 2001-07-10
  • S66 Uniform Combined State Law Examination
    2009-12-30
  • S63 Uniform Securities Agent State Law Examination
    2001-07-10
Other Names
  • Andrew K. Yi

View on SEC IAPD

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BSIP SLP GP, LLC · FRISCO, TX
MCCLURE CAPITAL ADVISORS, INC. · FRISCO, TX
MAVERICK TECH FUND MANAGER · FRISCO, TX
WAYMAKER PARTNERS, LLC · FRISCO, TX
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · FRISCO, TX
RBC CAPITAL MARKETS, LLC · Frisco, TX
CG ADVISORY SERVICES · Frisco, TX
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · FRISCO, TX

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