Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kai-yuan? Claim Your ProfileKai-yuan Hu is a financial advisor with over 10 years of experience in the industry. Kai-yuan is currently registered with Charles Schwab & CO., Inc. and holds Series 6, 7, 63, and 65 licenses. Kai-yuan is specialized in providing financial advice to individuals and is also involved with financial planning. Before joining Charles Schwab & CO., Inc., Kai-yuan worked for Pruco Securities, LLC., Ameriprise Financial Services, LLC, Cetera Investment Services LLC and J.P. Morgan Securities LLC.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Asset based fees for wrap pgrms & subsc pricing for fin planning
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2
CA
02/15/2022 - Present
Charles Schwab & CO., Inc. (Rowland Heights CA)
CA
12/16/2020 - 02/07/2022
PRUCO SECURITIES, LLC. (IRVINE CA)
CA
05/09/2019 - 12/18/2020
AMERIPRISE FINANCIAL SERVICES, LLC (Irvine CA)
CA
01/02/2018 - 04/23/2019
CETERA INVESTMENT SERVICES LLC (ROWLAND HEIGHTS CA)
CA
12/01/2016 - 12/22/2017
CETERA INVESTMENT SERVICES LLC (SAN MARINO CA)
CA
09/30/2016 - 11/30/2016
J.P. MORGAN SECURITIES LLC (IRVINE CA)
CA
10/01/2012 - 05/26/2016
J.P. MORGAN SECURITIES LLC (IRVINE CA)
CA
07/11/2012 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (IRVINE CA)
IA
Issued 04/17/2017
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/18/2012
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/23/2017
Series 7 - General Securities Representative Examination
BC
Issued 07/10/2012
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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