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Detailed Report
Ye Xia
Summer Xia
CRD#: 6422491
IA
Investment Adviser
B
Broker
SCHWAB WEALTH ADVISORY, INC.CRD#: 159035 9800 Schwab Way
Lone Tree, CO 80124
CHARLES SCHWAB & CO., INC.CRD#: 5393 9800 Schwab Way
Lone Tree, CO 80124
Registration History
201520162017201820192020202120222023202420252026IASCHWAB WEALTH ADVISORY, INC. (CRD# 159035)2017 - Present (7 years)BCHARLES SCHWAB & CO., INC. (CRD# 5393)2015 - Present (10 years)IACHARLES SCHWAB & CO., INC. (CRD# 5393)2017 - 2017 (<1 year)
License(s)

State Registrations

B
Arizona 5/11/2024
B
Nevada 3/7/2025
B
California 5/8/2015
B
New Jersey 6/8/2015
B
Colorado 3/31/2015
B
New York 6/8/2015
IA
Colorado 10/16/2017
B
North Carolina 1/7/2016
B
Florida 6/8/2015
B
Ohio 1/6/2016
B
Illinois 6/8/2015
B
Pennsylvania 10/13/2024
B
Indiana 1/6/2016
B
South Carolina 3/29/2024
B
Iowa 1/6/2016
B
Tennessee 1/6/2016
B
Maryland 4/19/2024
B
Texas 1/6/2016
B
Massachusetts 1/6/2016
IA
Texas 1/3/2020
B
Michigan 9/14/2024
B
Washington 1/6/2016
B
Minnesota 3/1/2025

SRO Registrations

B
 FINRA
B
 Nasdaq Stock Market

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
SCHWAB WEALTH ADVISORY, INC. (CRD#:159035)
9800 Schwab Way, Lone Tree, CO 80124
Registered with this firm since 10/16/2017
B
CHARLES SCHWAB & CO., INC. (CRD#:5393)
9800 Schwab Way, Lone Tree, CO 80124
Registered with this firm since 3/31/2015
Previous Registration(s)
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IA
 08/28/2017 - 10/16/2017 CHARLES SCHWAB & CO., INC. (CRD#:5393) SAN FRANCISCO, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.