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Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2021-10-11
  • CA RA
    APPROVED
    Since 2021-10-11

Branch Locations

3150 Crow Canyon Road, San Ramon, CA 94583-1332 • 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, Inc. Walnut Creek CA 02/2006 06/2024
Charles Schwab & Co., Inc. San Ramon CA 10/2021 Present
Charles Schwab Bank, Ssb San Ramon CA 10/2021 Present
  • 02/2006 → 06/2024
    Td Ameritrade, Inc.
    Walnut Creek, CA
  • 10/2021 → Present
    San Ramon, CA
  • 10/2021 → Present
    Charles Schwab Bank, Ssb
    San Ramon, CA
Previous Registrations
  • 2006-04-25 → 2023-09-07
    Td Ameritrade Investment Management, Llc
    Cupertino, CA
    Walnut Creek, CA
    Walnut Creek, CA
    San Ramon, CA
  • 2005-01-20 → 2022-10-14
    Td Ameritrade, Inc.
    Cupertino, CA
    Walnut Creek, CA
    San Ramon, CA
Other Businesses

1) Rental Property | Investment Related:No|2307 Foothill Road #4|Pleasanton|CA|94566|USA|Real Estate (Non-Agent/Broker)|Owner|8/1/2010|Less than 20|0.01|Tax reporting, 2) Rental Property | Investment Related:No|40438 Gibson St.|Fremont|CA |94538|USA|Real Estate (Non-Agent/Broker)|Owner|11/30/2011|Less than 20|0.01|Tax reporting, 3) Rental Property | Investment Related:No|463 N. 16th st.|San Jose|CA|95112|USA|Real Estate (Non-Agent/Broker)|Owner|5/30/2014|Less than 20|0.01|Tax reporting, 4) Rental Property | Investment Related:No|508 Sausalito Blvd|Sausalito|CA|94965|US|Real Estate (Non-Agent/Broker)|Owner|4/13/2025|Less than 20|0|Property maintenance

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-12-28
S63 Uniform Securities Agent State Law Examination 1999-12-23
  • S66 Uniform Combined State Law Examination
    2004-12-28
  • S63 Uniform Securities Agent State Law Examination
    1999-12-23
Other Names
  • Ming M Yan
  • Ming Mingxi Yan
  • Ming Mingxi Lo
  • Ming X Lo
  • Ming Mingxi Yan

View on SEC IAPD

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