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RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

JOAN HSU

Advisor at PROSPERA FINANCIAL SERVICES, INC.

Redlands, CA

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Search this name across graphsid dfx:ria:d9f4f142-c0d3-4184-3be5-0e3ac1a87cc3

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:02 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: May 3, 2001 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: PROSPERA FINANCIAL SERVICES, INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 13, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S66|S63
First exam: Mar 13, 1998
First registration: May 3, 2001
Dual registered: yes, broker-dealer
Other names: JOAN SHITONG HSU|JOAN SHI-TONG HSU
IAPD individual key: 2999863

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
PROSPERA FINANCIAL SERVICES, INC.	Bd affiliated wealth	Jul 13, 2026	n/a	yes	Redlands, CA	Current employment
WELLS FARGO ADVISORS	Wirehouse	Sep 2, 2016	Jul 13, 2026	no	REDLANDS, CA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Oct 23, 2009	Sep 6, 2016	no	RIVERSIDE, CA\|RIVERSIDE, CA	Previous registration
BANC OF AMERICA INVESTMENT SERVICES, INC.	n/a	Nov 8, 2005	Oct 23, 2009	no	RIVERSIDE, CA	Previous registration
CHARLES SCHWAB & CO., INC.	National bd RIA	May 3, 2001	Sep 10, 2004	no	RIVERSIDE, 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
WELLS FARGO ADVISORS	PROSPERA FINANCIAL SERVICES, INC.	Jul 13, 2026	Jul 13, 2026	0	Firm change	Wirehouse to ibd
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	WELLS FARGO ADVISORS	Sep 6, 2016	Sep 2, 2016	-4	Firm change	Wirehouse to wirehouse
BANC OF AMERICA INVESTMENT SERVICES, INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Oct 23, 2009	Oct 23, 2009	0	Bulk transfer	Other
CHARLES SCHWAB & CO., INC.	BANC OF AMERICA INVESTMENT SERVICES, INC.	Sep 10, 2004	Nov 8, 2005	424	Firm change after gap	Other

Team moves

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

Team	Left	Joined	From	Kind
7691:11025:CA:2016-09-06	Sep 6, 2016	Sep 2, 2016	RIVERSIDE, CA	Firm change

Relationships

Registered with (5)

→ PROSPERA FINANCIAL SERVICES, INC.Registered adviserregistration: current employment
Jul 13, 2026 to presentfactForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Sep 2, 2016 to Jul 13, 2026factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Oct 23, 2009 to Sep 6, 2016factForm ADV
→ BANC OF AMERICA INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Nov 8, 2005 to Oct 23, 2009factForm ADV
→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: previous registration
May 3, 2001 to Sep 10, 2004factForm ADV

Dated events

Occurred
Jul 13, 2026
Advisor changed firm
Joan Hsu left Wells Fargo Advisors for Prospera Financial Services, Inc. (registered 2026-07-13)
Form ADVobserved 6 days ago