DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Registered advisor

Joan Hsu

Prospera Financial Services, Inc.BD affiliatedRedlands, Cadual registrantIAPD 2999863

Feed of 09/14/2026

Also filed as Joan Shitong Hsu

At current firm

0 y

since Jul 13, 2026

In the industry

28 y

since Mar 13, 1998 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Prospera Financial Services, Inc. BD affiliated current
since Jul 13, 2026 · Redlands, Ca
Wells Fargo Advisors wirehouse
Sep 2, 2016 to Jul 13, 2026 · Redlands, Ca
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
Oct 23, 2009 to Sep 6, 2016 · Riverside, Ca
Banc Of America Investment Services, Inc. unclassified
Nov 8, 2005 to Oct 23, 2009 · Riverside, Ca
Charles Schwab & Co., Inc. national BD
May 3, 2001 to Sep 10, 2004 · Riverside, Ca

Moves

a registration end followed by a registration begin elsewhere

Wells Fargo Advisors to Prospera Financial Services, Inc.
left Jul 13, 2026, registered Jul 13, 2026 (0 days) · Wirehouse to affiliated broker-dealer or bank
Merrill Lynch, Pierce, Fenner & Smith Incorporated to Wells Fargo Advisors
left Sep 6, 2016, registered Sep 2, 2016 (-4 days) · Wirehouse to wirehouse · moved with a team
Banc Of America Investment Services, Inc. to Merrill Lynch, Pierce, Fenner & Smith Incorporated
left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
Charles Schwab & Co., Inc. to Banc Of America Investment Services, Inc.
left Sep 10, 2004, registered Nov 8, 2005 (424 days) · Other

Signals

Joan Hsu left Wells Fargo Advisors for Prospera Financial Services, Inc. (registered 2026-07-13)
Jul 13, 2026 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Broker-dealer affiliated wealth managerderived
Years in industry: 28derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address