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Shu-Ming Chang Chu

Charles Schwab & Co., Inc.

Cupertino, CA

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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 2000-06-20
  • CA RA
    APPROVED
    Since 2000-06-20

Branch Locations

19499 Stevens Creek Blvd Suite 100, Cupertino, CA 95014 • 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
Charles Schwab & Co., Inc. Cupertino CA 09/1997 Present
Charles Schwab Bank, Ssb Cupertino CA 02/2005 Present
Other Businesses

1) rental property | Investment Related:No|757 Jill Ave|Santa Clara|CA|95050|USA|Real Estate (Non-Agent/Broker)|owner|11/8/2019|Less than 20|0|I am the owner of this residential property. I hire property manager to manage all for me including maintenance, collecting rent and dealing with tenants...etc.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-06-14
S63 Uniform Securities Agent State Law Examination 1996-12-11
  • S66 Uniform Combined State Law Examination
    2000-06-14
  • S63 Uniform Securities Agent State Law Examination
    1996-12-11
Other Names
  • Sandy Chu
  • Lisa Chu
  • Shu Ming Chang
  • Shuming Chang Chu
  • Shu-Ming Chu
  • Shu-Ming C Chu

View on SEC IAPD

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Other Offices

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · CUPERTINO, CA
CITIGROUP GLOBAL MARKETS INC. · CUPERTINO, CA
EVEREST PRIVATE WEALTH · CUPERTINO, CA
AIMTOP ADVISORS, LLC · CUPERTINO, CA
AKRISH FINANCIAL ADVISORY · CUPERTINO, CA
FV ADVISORS LLC · CUPERTINO, CA
MINOVA CAPITAL LLC · CUPERTINO, CA
CAPITAL V GROUP LLC · CUPERTINO, CA

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