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Ricky Ken Hu

Charles Schwab & Co., Inc.

Metairie, LA

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Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2026-01-05
LA RA APPROVED 2022-01-26
  • TX RA
    APPROVED_RES
    Since 2026-01-05
  • LA RA
    APPROVED
    Since 2022-01-26

Branch Locations

3417 Veterans Memorial Blvd, Metairie, LA 70002 • 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
Scottrade Shreveport LA 09/2015 02/2018
Td Ameritrade, Inc Metairie LA 02/2018 06/2024
Td Ameritrade Investment Management, Llc Metairie LA 02/2018 09/2023
Charles Schwab & Co., Inc. Metairie LA 01/2022 Present
Charles Schwab Bank, Ssb Metairie LA 07/2022 Present
  • 09/2015 → 02/2018
    Scottrade
    Shreveport, LA
  • 02/2018 → 06/2024
    Td Ameritrade, Inc
    Metairie, LA
  • 02/2018 → 09/2023
    Td Ameritrade Investment Management, Llc
    Metairie, LA
  • 01/2022 → Present
    Charles Schwab & Co., Inc.
    Metairie, LA
  • 07/2022 → Present
    Charles Schwab Bank, Ssb
    Metairie, LA
Previous Registrations
  • 2018-02-26 → 2023-09-07
    Td Ameritrade Investment Management, Llc
    Omaha, NE
    Lafayette, LA
    Houston, TX
    Houston, TX
    Metairie, LA
  • 2018-02-27 → 2022-10-14
    Td Ameritrade, Inc.
    Lafayette, LA
    Houston, TX
    Houston, TX
    Metairie, LA
    Omaha, NE
  • 2017-03-15 → 2018-02-26
    Scottrade Investment Management
    Saint Louis, MO
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-03-15
S63 Uniform Securities Agent State Law Examination 2016-03-24
  • S66 Uniform Combined State Law Examination
    2017-03-15
  • S63 Uniform Securities Agent State Law Examination
    2016-03-24
Other Names
  • Ricky Hu

View on SEC IAPD

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Other Offices

AMERIPRISE FINANCIAL SERVICES, LLC · Metairie, LA
AMERITAS ADVISORY SERVICES, LLC · Metairie, LA
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC · Metairie, LA
MERCER GLOBAL ADVISORS INC. · Metairie, LA
LPL ENTERPRISE, LLC · METAIRIE, LA
GUILBAULT CAPITAL · METAIRIE, LA
SISUNG INVESTMENT MANAGEMENT SERVICES LLC · METAIRIE, LA
INDEPENDENT ADVISOR ALLIANCE, LLC · Metarie, LA

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