DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)18 years in industry

TE HSIN WENDY YUAN

Advisor at CHARLES SCHWAB & CO., INC.

Pleasanton, CA | Fremont, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:90e45f56-1d89-3afd-4224-3a86d9f7cc0c

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:52 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Apr 1, 2008 to Sep 15, 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: Mar 31, 2008earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 13derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Mar 31, 2008
First registration: Apr 1, 2008
Dual registered: yes, broker-dealer
Other names: WENDY YUAN
IAPD individual key: 5086675

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	Apr 29, 2013	n/a	yes	Fremont, CA\|Pleasanton, CA	Current employment
STRATEGIC ADVISERS LLC	National bd RIA	Jan 17, 2013	Feb 25, 2013	no	SAN JOSE, CA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Oct 23, 2009	Dec 17, 2012	no	MILPITAS, CA\|SAN JOSE, CA\|FREMONT, CA\|NEW YORK, NY\|SAN JOSE, CA\|FREMONT, CA\|FREMONT, CA	Previous registration
BANC OF AMERICA INVESTMENT SERVICES, INC.	n/a	Apr 1, 2008	Oct 23, 2009	no	SAN JOSE, CA\|MILPITAS, 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
STRATEGIC ADVISERS LLC	CHARLES SCHWAB & CO., INC.	Feb 25, 2013	Apr 29, 2013	63	Firm change	Ibd to ibd
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	STRATEGIC ADVISERS LLC	Dec 17, 2012	Jan 17, 2013	31	Firm change	Wirehouse to ibd
BANC OF AMERICA INVESTMENT SERVICES, INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Oct 23, 2009	Oct 23, 2009	0	Bulk transfer	Other

Relationships

Registered with (4)

→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: current employment
Apr 29, 2013 to presentfactForm ADV
→ STRATEGIC ADVISERS LLCRegistered adviserregistration: previous registration
Jan 17, 2013 to Feb 25, 2013factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Oct 23, 2009 to Dec 17, 2012factForm ADV
→ BANC OF AMERICA INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Apr 1, 2008 to Oct 23, 2009factForm ADV

Dated events

No dated event names this entity yet.