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Daphany Chu Yun Shen

Charles Schwab & Co., Inc.

Pasadena, 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 2022-01-26
  • CA RA
    APPROVED
    Since 2022-01-26

Branch Locations

251 S. Lake Ave. Suite 150, Pasadena, CA 91101 • 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. Pasadena CA 07/2019 06/2024
Gruen Associates Los Angeles CA 06/2018 07/2019
Habitat For Humanity Irwindale CA 01/2018 06/2018
Archimorphic Little Tokyo CA 07/2017 11/2017
Unemployed Temple City CA 05/2017 07/2017
Ltl New York NY 09/2016 11/2016
Cornell University Ithaca NY 08/2012 05/2017
Charles Schwab & Co., Inc. Pasadena CA 12/2022 Present
Charles Schwab Bank, Ssb Pasadena CA 11/2023 Present
  • 07/2019 → 06/2024
    Td Ameritrade, Inc.
    Pasadena, CA
  • 06/2018 → 07/2019
    Gruen Associates
    Los Angeles, CA
  • 01/2018 → 06/2018
    Habitat For Humanity
    Irwindale, CA
  • 07/2017 → 11/2017
    Archimorphic
    Little Tokyo, CA
  • 05/2017 → 07/2017
    Unemployed
    Temple City, CA
  • 09/2016 → 11/2016
    Ltl
    New York, NY
  • 08/2012 → 05/2017
    Cornell University
    Ithaca, NY
  • 12/2022 → Present
    Charles Schwab & Co., Inc.
    Pasadena, CA
  • 11/2023 → Present
    Charles Schwab Bank, Ssb
    Pasadena, CA
Previous Registrations
  • 2021-08-30 → 2023-09-07
    Td Ameritrade Investment Management, Llc
    Pasadena, CA
    Pasadena, CA
  • 2021-08-30 → 2022-10-14
    Td Ameritrade, Inc.
    Pasadena, CA
    Pasadena, CA
    Omaha, NE
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-08-28
  • S66 Uniform Combined State Law Examination
    2021-08-28
Other Names
  • Daphany C Shen
  • Daphany Shen

View on SEC IAPD

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Other Offices

CMR CAPITAL MANAGEMENT, LLC · PASADENA, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · PASADENA, CA
STRATEGY ASSET MANAGERS L.L.C. · PASADENA, CA
MML INVESTORS SERVICES, LLC · Pasadena, CA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · PASADENA, CA
NASDAQ DORSEY WRIGHT · Pasadena, CA
U.S. BANCORP ADVISORS, LLC · Pasadena, CA
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