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RIA / WealthAdvisordual registered (broker-dealer)14 years in industry

KAI-YUAN HU

Advisor at CHARLES SCHWAB & CO., INC.

Rowland Heights, CA

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Search this name across graphsid dfx:ria:4a9fa99d-4802-7453-99e1-2f0654e44718

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:48 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Apr 18, 2017 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: Jul 18, 2012earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 4
Exams: S63|S65
First exam: Jul 18, 2012
First registration: Apr 18, 2017
Dual registered: yes, broker-dealer
Other names: KYLE HU|KAI YUAN HU|KAI HU|KAI YUAN HU|KAI-YUAN HU
IAPD individual key: 5329867

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	Feb 15, 2022	n/a	yes	Rowland Heights, CA	Current employment
PRUCO SECURITIES, LLC	No RAUM reported	Dec 16, 2020	Feb 7, 2022	no	IRVINE, CA	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	May 9, 2019	Dec 18, 2020	no	Irvine, CA	Previous registration
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Jan 2, 2018	Apr 23, 2019	no	ROWLAND HEIGHTS, CA	Previous registration
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Apr 18, 2017	Dec 22, 2017	no	SAN MARINO, 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
PRUCO SECURITIES, LLC	CHARLES SCHWAB & CO., INC.	Feb 7, 2022	Feb 15, 2022	8	Firm change	Ibd to ibd
AMERIPRISE FINANCIAL SERVICES, LLC	PRUCO SECURITIES, LLC	Dec 18, 2020	Dec 16, 2020	-2	Firm change	Ibd to ibd
CETERA INVESTMENT ADVISERS LLC	AMERIPRISE FINANCIAL SERVICES, LLC	Apr 23, 2019	May 9, 2019	16	Firm change	Ibd to ibd

Relationships

Registered with (4)

→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: current employment
Feb 15, 2022 to presentfactForm ADV
→ PRUCO SECURITIES, LLCRegistered adviserregistration: previous registration
Dec 16, 2020 to Feb 7, 2022factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
May 9, 2019 to Dec 18, 2020factForm ADV
→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: previous registration
Jan 2, 2018 to Apr 23, 2019factForm ADV

Dated events

Occurred
Feb 7, 2022
Advisor changed firm
Kai-Yuan Hu left Pruco Securities, Llc for Charles Schwab & Co., Inc. (registered 2022-02-15)
Form ADVobserved 5 days ago