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Susan Tzu-Ling Chen

Charles Schwab & Co., Inc.

Cupertino, 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

19499 Stevens Creek Blvd Suite 100, Cupertino, CA 95014 • 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. Cupertino CA 08/2011 06/2024
Charles Schwab & Co., Inc. Cupertino CA 01/2022 Present
Td Ameritrade Investment Management, Llc Cupertino CA 09/2011 09/2023
Charles Schwab Bank Cupertino CA 01/2022 Present
  • 08/2011 → 06/2024
    Td Ameritrade, Inc.
    Cupertino, CA
  • 01/2022 → Present
    Charles Schwab & Co., Inc.
    Cupertino, CA
  • 09/2011 → 09/2023
    Td Ameritrade Investment Management, Llc
    Cupertino, CA
  • 01/2022 → Present
    Charles Schwab Bank
    Cupertino, CA
Previous Registrations
  • 2011-09-01 → 2023-09-07
    Td Ameritrade Investment Management, Llc
    Cupertino, CA
    Cupertino, CA
  • 2011-09-01 → 2022-10-14
    Td Ameritrade, Inc.
    Cupertino, CA
    Cupertino, CA
  • 2010-12-07 → 2011-09-06
    Ubs Financial Services Inc.
    Palo Alto, CA
    San Francisco, CA
  • 2001-03-21 → 2010-12-17
    Charles Schwab & Co., Inc.
    San Mateo, CA
    San Mateo, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-03-14
S63 Uniform Securities Agent State Law Examination 1999-06-02
  • S66 Uniform Combined State Law Examination
    2001-03-14
  • S63 Uniform Securities Agent State Law Examination
    1999-06-02
Other Names
  • Susan Tzu Ling Chen
  • Susan Tzuling Chen
  • Susan Tzu-Ling Chen
  • Susan Tzu-Ling Tzu-Ling Chen

View on SEC IAPD

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Other Offices

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · CUPERTINO, CA
CITIGROUP GLOBAL MARKETS INC. · CUPERTINO, CA
EVEREST PRIVATE WEALTH · CUPERTINO, CA
AIMTOP ADVISORS, LLC · CUPERTINO, CA
AKRISH FINANCIAL ADVISORY · CUPERTINO, CA
FV ADVISORS LLC · CUPERTINO, CA
MINOVA CAPITAL LLC · CUPERTINO, CA
CAPITAL V GROUP LLC · CUPERTINO, CA

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