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Cathy Ha

Charles Schwab & Co., Inc.

Milpitas, 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 2026-07-22
  • CA RA
    APPROVED
    Since 2026-07-22

Branch Locations

12 Ranch Drive, Milpitas, CA 95035-5103 • 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
Merrill Lynch, Pierce, Fenner & Smith, Inc. Monterey Park CA 11/2021 08/2025
Citibank N.A San Gabriel CA 09/2017 10/2021
East West Bank Rowland Heights CA 12/2013 09/2017
Citigroup Arcadia CA 09/2025 06/2026
Charles Schwab & Co., Inc Milpitas CA 07/2026 Present
Charles Schwab Bank Milpitas CA 07/2026 Present
  • 11/2021 → 08/2025
    Merrill Lynch, Pierce, Fenner & Smith, Inc.
    Monterey Park, CA
  • 09/2017 → 10/2021
    Citibank N.A
    San Gabriel, CA
  • 12/2013 → 09/2017
    East West Bank
    Rowland Heights, CA
  • 09/2025 → 06/2026
    Citigroup
    Arcadia, CA
  • 07/2026 → Present
    Charles Schwab & Co., Inc
    Milpitas, CA
  • 07/2026 → Present
    Charles Schwab Bank
    Milpitas, CA
Previous Registrations
Other Businesses

1) Rental Property | Investment Related:No|116 Lavender Cir|Real Estate (Non-Agent/Broker)|Owner|2026-01-01|Less than 20|0|rental property

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-02-15
  • S66 Uniform Combined State Law Examination
    2022-02-15
Other Names
  • Thanh Ngoc Ha
  • Thanh Ha

View on SEC IAPD

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Other Offices

CETERA INVESTMENT ADVISERS LLC · MILPITAS, CA
NI ADVISORS · MILPITAS, CA
NEW ASSETS INVESTMENT ADVISORS LLC · MILPITAS, CA
NEW ASSETS INVESTMENT ADVISORS LLC · MILPITAS, CA
INDEPENDENT FINANCIAL GROUP, LLC · Milpitas, CA
U.S. BANCORP ADVISORS, LLC · Milpitas, CA
CITIGROUP GLOBAL MARKETS INC. · Milpitas, CA
J.P. MORGAN SECURITIES LLC · MILPITAS, CA

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