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Gloria A Lai

Charles Schwab & Co., Inc.

San Francisco, CA

CRD 8024236

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Employer firm

Charles Schwab & Co., Inc. CRD 5393

955,800 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Selection of other advisers
  • WRAP FEE PROGRAM SPONSOR AND FINANCIAL PLANNING ADVISOR REFERRAL PROGRAM

From the firm’s Form ADV. Read the guides:

Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-05-31
  • CA RA
    APPROVED
    Since 2025-05-31

Branch Locations

200 California Street Floor 01, San Francisco, CA 94111-4344 • 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
Jpmorgan Chase San Francisco CA 07/2023 07/2024
First Republic Bank San Francisco CA 04/2007 07/2023
Charles Schwab & Co., Inc. San Francisco CA 01/2025 Present
Charles Schwab Bank Ssb San Francisco CA 01/2025 Present
Unemployed Daly City CA 08/2024 12/2024
  • 07/2023 → 07/2024
    Jpmorgan Chase
    San Francisco, CA
  • 04/2007 → 07/2023
    First Republic Bank
    San Francisco, CA
  • 01/2025 → Present
    Charles Schwab & Co., Inc.
    San Francisco, CA
  • 01/2025 → Present
    Charles Schwab Bank Ssb
    San Francisco, CA
  • 08/2024 → 12/2024
    Unemployed
    Daly City, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-05-30
  • S66 Uniform Combined State Law Examination
    2025-05-30
Other Names
  • Gloria Lai
  • Gloria Lai
  • Gloria Ah Ting Lai

View on SEC IAPD

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