Lisa Chen

Current Employers

Schwab Wealth Advisory, Inc.

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2020-01-02
CA	RA	APPROVED	2012-01-03

TX RA
APPROVED

Since 2020-01-02
CA RA
APPROVED

Since 2012-01-03

Branch Locations

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

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Charles Schwab & Co., Inc.	San Francisco	CA	12/1997	Present
Rental Property	San Francisco	CA	02/2012	05/2017
Schwab Wealth Advisory, Inc.	San Francisco	CA	01/2012	Present

12/1997 → Present

Charles Schwab & Co., Inc.

San Francisco, CA
02/2012 → 05/2017

Rental Property

San Francisco, CA
01/2012 → Present

Schwab Wealth Advisory, Inc.

San Francisco, CA

Other Businesses

IHSS - In Home Support Services|Investment Related:No|Healthcare Services|Care Giver|2023-04-20|Hours Per Month: Less than 20|Hours Spent during Security Trading:0|My mother's social worker said she qualify for obtaining in home care services provided by the government and while we are searching for one was recommended I can qualify as a care giver. I am aware need approval. Strictly care giving so not related to financial or investment.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2006-02-23
S63	Uniform Securities Agent State Law Examination	1998-06-10

S66 Uniform Combined State Law Examination

2006-02-23
S63 Uniform Securities Agent State Law Examination

1998-06-10

Other Names

Lisa Chen
Lisa None Chen

View on SEC IAPD