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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)12 years in industry

Xiao Lu Jiang

Advisor at CHARLES SCHWAB & CO., INC.

Pleasanton, CA

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Search this name across graphsid dfx:ria:185d598c-2d2d-3387-2aea-c23c3cb699ed

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:04 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Aug 9, 2018 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CHARLES SCHWAB & CO., INC.
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 1, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S63|S66
First exam: Aug 9, 2017
First registration: Aug 9, 2018
Dual registered: yes, broker-dealer
Other names: Lulu Jiang|Lulu Jiang
IAPD individual key: 6798911

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CHARLES SCHWAB & CO., INC.	National bd RIA	Jan 31, 2022	n/a	yes	Pleasanton, CA	Current employment
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Jan 4, 2021	Sep 7, 2023	no	Walnut Creek, CA\|SAN FRANCISCO, CA\|San Francisco, CA	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Dec 6, 2019	Dec 31, 2020	no	East Palo Alto, CA	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Dec 6, 2019	Oct 14, 2022	no	Walnut Creek, CA\|Menlo Park, CA\|SAN FRANCISCO, CA\|San Francisco, CA\|San Francisco, CA\|OMAHA, NE	Previous registration
CHARLES SCHWAB & CO., INC.	National bd RIA	Aug 9, 2018	Nov 8, 2019	no	San Francisco, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	CHARLES SCHWAB & CO., INC.	Sep 7, 2023	Jan 31, 2022	-584	Bulk transfer	RIA to ibd
TD AMERITRADE, INC.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Oct 14, 2022	Jan 4, 2021	-648	Bulk transfer	Other
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	TD AMERITRADE, INC.	Dec 31, 2020	Dec 6, 2019	-391	Bulk transfer	Other
CHARLES SCHWAB & CO., INC.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Nov 8, 2019	Dec 6, 2019	28	Channel change	Ibd to RIA

Relationships

Registered with (3)

→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: previous registration
Aug 9, 2018 to Nov 8, 2019factForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jan 4, 2021 to Sep 7, 2023factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Dec 6, 2019 to Oct 14, 2022factForm ADV

Dated events

No dated event names this entity yet.