Joan Hsu

Current Employers

Prospera Financial Services, Inc.

5429 Lbj Freeway Suite 750, Dallas, TX 75240 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2026-07-13

CA RA
APPROVED

Since 2026-07-13

Branch Locations

1447 Ford St. Ste 202, Redlands, CA 92374 • 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

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Riverside	CA	10/2009	09/2016
Wells Fargo Advisors Financial Network, Llc	Redlands	CA	09/2016	07/2026
Prospera Financial Services Inc,	Dallas	TX	07/2026	Present

10/2009 → 09/2016

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Riverside, CA
09/2016 → 07/2026

Wells Fargo Advisors Financial Network, Llc

Redlands, CA
07/2026 → Present

Prospera Financial Services Inc,

Dallas, TX

Previous Registrations

2016-09-02 → 2026-07-13

Wells Fargo Advisors Financial Network, Llc

Redlands, CA
2009-10-23 → 2016-09-06

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Riverside, CA

Riverside, CA
2005-11-08 → 2009-10-23

Banc Of America Investment Services, Inc.

Riverside, CA
2001-05-03 → 2004-09-10

Charles Schwab & Co., Inc.

Riverside, CA

Other Businesses

Rental Property; Investment Related - Yes; 137 Sandpoint Lane, Riverside, CA 92506; Rental; Owner; 04/2026; 0 Hours Per Month; 0 During Trading Hours; No duties managed by property management company.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2001-04-24
S63	Uniform Securities Agent State Law Examination	1998-03-13

S66 Uniform Combined State Law Examination

2001-04-24
S63 Uniform Securities Agent State Law Examination

1998-03-13

Other Names

Joan Shitong Hsu
Joan Shi-Tong Hsu

View on SEC IAPD