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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)14 years in industry

Paulina Wong

Advisor at CHARLES SCHWAB & CO., INC.

San Bruno, CA | Westlake, TX

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Search this name across graphsid dfx:ria:c1e965e9-cc85-e8c0-85c2-f2d1addff5c5

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 3:53 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 1
On other graphs: 0
Observed: Nov 5, 2011 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: Nov 4, 2011earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S66
First exam: Nov 4, 2011
First registration: Nov 5, 2011
Dual registered: yes, broker-dealer
IAPD individual key: 5971223

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	May 12, 2026	n/a	yes	San Bruno, CA\|Westlake, TX	Current employment
MORGAN STANLEY	Wirehouse	Sep 29, 2021	May 4, 2026	no	San Francisco, CA\|San Francisco, CA\|Menlo Park, CA	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Sep 22, 2017	Sep 4, 2021	no	SAN FRANCISCO, CA	Previous registration
NEUBERGER BERMAN BD LLC	No RAUM reported	May 5, 2015	Sep 13, 2017	no	SAN FRANCISCO, CA	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Apr 18, 2014	May 11, 2015	no	SAN MATEO, CA	Previous registration
CREDIT SUISSE SECURITIES (USA) LLC	Former SEC adviser	Jul 11, 2012	Apr 17, 2014	no	SAN FRANCISCO, CA	Previous registration
RAND & ASSOCIATES	Former SEC adviser	Dec 22, 2011	Jul 6, 2012	no	SAN FRANCISCO, CA	Previous registration
SAN FRANCISCO SENTRY INVESTMENT GROUP	Former SEC adviser	Nov 5, 2011	Jul 6, 2012	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
MORGAN STANLEY	CHARLES SCHWAB & CO., INC.	May 4, 2026	May 12, 2026	8	Firm change	Wirehouse to ibd
J.P. MORGAN SECURITIES LLC	MORGAN STANLEY	Sep 4, 2021	Sep 29, 2021	25	Firm change	Wirehouse to wirehouse
NEUBERGER BERMAN BD LLC	J.P. MORGAN SECURITIES LLC	Sep 13, 2017	Sep 22, 2017	9	Firm change	Other
UBS FINANCIAL SERVICES INC.	NEUBERGER BERMAN BD LLC	May 11, 2015	May 5, 2015	-6	Firm change	Other
CREDIT SUISSE SECURITIES (USA) LLC	UBS FINANCIAL SERVICES INC.	Apr 17, 2014	Apr 18, 2014	1	Firm change	Other
SAN FRANCISCO SENTRY INVESTMENT GROUP	RAND & ASSOCIATES	Jul 6, 2012	Dec 22, 2011	-197	Firm change after gap	Other
RAND & ASSOCIATES	CREDIT SUISSE SECURITIES (USA) LLC	Jul 6, 2012	Jul 11, 2012	5	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
149777:5393:CA:2026-04-20	May 4, 2026	May 12, 2026	MENLO PARK, CA	Firm change
79:149777:CA:2021-09-04	Sep 4, 2021	Sep 29, 2021	SAN FRANCISCO, CA	Firm change

Relationships

Registered with (8)

→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: current employment
May 12, 2026 to presentfactForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Sep 29, 2021 to May 4, 2026factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Sep 22, 2017 to Sep 4, 2021factForm ADV
→ NEUBERGER BERMAN BD LLCRegistered adviserregistration: previous registration
May 5, 2015 to Sep 13, 2017factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Apr 18, 2014 to May 11, 2015factForm ADV
→ CREDIT SUISSE SECURITIES (USA) LLCRegistered adviserregistration: previous registration
Jul 11, 2012 to Apr 17, 2014factForm ADV
→ SAN FRANCISCO SENTRY INVESTMENT GROUPRegistered adviserregistration: previous registration
Nov 5, 2011 to Jul 6, 2012factForm ADV
→ RAND & ASSOCIATESRegistered adviserregistration: previous registration
Dec 22, 2011 to Jul 6, 2012factForm ADV

Dated events

Occurred
May 4, 2026
Advisor changed firm
Paulina Wong left Morgan Stanley for Charles Schwab & Co., Inc. (registered 2026-05-12)
Form ADVobserved 5 days ago