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Kai-Yuan Hu

Charles Schwab & Co., Inc.

Rowland Heights, 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
AZ RA APPROVED 2025-03-12
NV RA APPROVED 2025-03-03
NC RA APPROVED 2025-03-03
CA RA APPROVED 2022-02-15
  • AZ RA
    APPROVED
    Since 2025-03-12
  • NV RA
    APPROVED
    Since 2025-03-03
  • NC RA
    APPROVED
    Since 2025-03-03
  • CA RA
    APPROVED
    Since 2022-02-15

Branch Locations

19708 Colima Road, Rowland Heights, CA 91748 • 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
Unemployed Irvine CA 05/2016 09/2016
Jp Morgan Chase Bank Irvine CA 09/2016 11/2016
Jp Morgan Securities, Llc Irvine CA 09/2016 11/2016
Cetera Investment Services Llc San Marino CA 11/2016 12/2017
Ctbc Bank San Marino CA 11/2016 12/2017
Cetera Investment Advisers Llc San Marino CA 11/2016 12/2017
Royal Business Bank Rowland Heights CA 01/2018 05/2019
Cetera Investment Services Llc Rowland Heights CA 01/2018 05/2019
Cetera Investment Advisers Llc Rowland Heights CA 01/2018 05/2019
Ameriprise Financial Services, Inc. Irvine CA 05/2019 12/2020
The Prudential Insurance Company Of America Irvine CA 12/2020 01/2022
Pruco Securities Irvine CA 12/2020 01/2022
Charles Schwab & Co., Inc. Rowland Heights CA 01/2022 Present
Charles Schwab Bank, Ssb Rowland Heights CA 01/2022 Present
  • 05/2016 → 09/2016
    Unemployed
    Irvine, CA
  • 09/2016 → 11/2016
    Jp Morgan Chase Bank
    Irvine, CA
  • 09/2016 → 11/2016
    Jp Morgan Securities, Llc
    Irvine, CA
  • 11/2016 → 12/2017
    Cetera Investment Services Llc
    San Marino, CA
  • 11/2016 → 12/2017
    Ctbc Bank
    San Marino, CA
  • 11/2016 → 12/2017
    Cetera Investment Advisers Llc
    San Marino, CA
  • 01/2018 → 05/2019
    Royal Business Bank
    Rowland Heights, CA
  • 01/2018 → 05/2019
    Cetera Investment Services Llc
    Rowland Heights, CA
  • 01/2018 → 05/2019
    Cetera Investment Advisers Llc
    Rowland Heights, CA
  • 05/2019 → 12/2020
    Ameriprise Financial Services, Inc.
    Irvine, CA
  • 12/2020 → 01/2022
    The Prudential Insurance Company Of America
    Irvine, CA
  • 12/2020 → 01/2022
    Pruco Securities
    Irvine, CA
  • 01/2022 → Present
    Charles Schwab & Co., Inc.
    Rowland Heights, CA
  • 01/2022 → Present
    Charles Schwab Bank, Ssb
    Rowland Heights, CA
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2017-04-17
S63 Uniform Securities Agent State Law Examination 2012-07-18
  • S65 Uniform Investment Adviser Law Examination
    2017-04-17
  • S63 Uniform Securities Agent State Law Examination
    2012-07-18
Other Names
  • Kyle Hu
  • Kai Yuan Hu
  • Kai Hu
  • Kai Yuan Hu
  • Kai-Yuan Hu

View on SEC IAPD

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Other Offices

J.P. MORGAN SECURITIES LLC · Rowland Height, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · ROWLAND HEIGHTS, CA
PFS INVESTMENTS INC. · DIAMOND BAR, CA
LPL FINANCIAL LLC · DIAMOND BAR, CA
CITIGROUP GLOBAL MARKETS INC. · ROWLAND HEIGHTS, CA
CETERA INVESTMENT ADVISERS LLC · CITY OF INDUSTRY, CA
CETERA INVESTMENT ADVISERS LLC · DIAMOND BAR, CA
LPL FINANCIAL LLC · DIAMOND BAR, CA

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