Regina J. Tsai

SCHWAB WEALTH ADVISORY

San Francisco, CA 94105-1901

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CRD#: 4800943

Professional summary

Regina Jui Chieh Tsai, CFP®, who also goes by Regina J. Tsai, Regina Jui-chieh Tsai, is a registered financial advisor currently at SCHWAB WEALTH ADVISORY, INC. located in San Francisco, California and CHARLES SCHWAB & CO., INC. located in San Francisco, California.

Regina is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Regina has worked at 9 firms and has passed the Series 66, SIE, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Regina J. Tsai | Regina Jui-Chieh Tsai

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Regina Jui Chieh Tsai's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2013

Experience

Current

June 22, 2017 - Present

SCHWAB WEALTH ADVISORY, INC.

Office #1: 211 Main Street, San Francisco, CA 94105-1901

RIA

CRD#: 159035

San Francisco, CA

Current

June 22, 2017 - Present

CHARLES SCHWAB & CO., INC.

Office #1: 211 Main Street, San Francisco, CA 94105

RIA

CRD#: 5393

San Francisco, CA

Past

December 7, 2016 - May 2, 2017

B|O|S

RIA

CRD#: 110496

San Francisco, CA

Past

December 12, 2013 - July 22, 2016

USAA FINANCIAL PLANNING SERVICES

RIA

CRD#: 106352

SAN FRANCISCO, CA

Past

December 12, 2013 - July 22, 2016

USAA FINANCIAL ADVISORS, INC.

CRD#: 129035

SAN FRANCISCO, CA

Past

April 9, 2007 - November 18, 2013

MUTUAL OF AMERICA SECURITIES LLC

CRD#: 27878

ROCKVILLE, MD

Past

April 9, 2007 - November 18, 2013

MUTUAL OF AMERICA LIFE INSURANCE COMPANY

CRD#: 15356

ROCKVILLE, MD

Past

March 23, 2005 - April 9, 2007

GROVE POINT INVESTMENTS, LLC

RIA

CRD#: 1763

ROCKVILLE, MD

Past

March 23, 2005 - April 9, 2007

GROVE POINT INVESTMENTS, LLC

CRD#: 1763

ROCKVILLE, MD

Past

October 4, 2004 - March 3, 2005

LEGG MASON WOOD WALKER, INCORPORATED

RIA

CRD#: 6555

BETHESDA, MD

Past

July 7, 2004 - March 3, 2005

LEGG MASON WOOD WALKER, INCORPORATED

CRD#: 6555

BALTIMORE, MD

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SCHWAB WEALTH ADVISORY, INC.

SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. | SCHWAB WEALTH ADVISORY, INC.

CRD#: 159035 / SEC#: 801-72795

RIA

Registered Investment Advisory firm - (12/9/2011 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(8/26/2019)

California
(6/22/2017)

IAR

California
(6/22/2017)

Connecticut
(2/7/2024)

Florida
(2/7/2024)

Georgia
(10/11/2018)

Hawaii
(8/22/2017)

Idaho
(1/2/2019)

Illinois
(2/7/2024)

Indiana
(2/2/2018)

Iowa
(2/25/2021)

Maryland
(9/18/2017)

Massachusetts
(2/7/2024)

Minnesota
(2/7/2024)

Missouri
(8/10/2017)

Nevada
(2/6/2018)

New Hampshire
(7/16/2019)

New Mexico
(9/27/2025)

New York
(9/18/2017)

North Carolina
(3/3/2023)

Ohio
(2/7/2024)

Oklahoma
(8/22/2017)

Oregon
(2/5/2021)

Pennsylvania
(2/7/2024)

Rhode Island
(9/27/2025)

Tennessee
(2/7/2024)

Texas
(8/22/2017)

IAR

Texas
(1/3/2020)

Virginia
(9/18/2017)

Washington
(1/2/2020)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/1/2004

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/6/2004

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 10/18/2021

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 6/7/2021

General Securities Sales Supervisor - Options Module Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

SCHWAB WEALTH ADVISORY, INC.

SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. | SCHWAB WEALTH ADVISORY, INC.

CRD#: 159035 / SEC#: 801-72795

RIA

Registered Investment Advisory firm - (12/9/2011 Approved)

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Contact information

Main Address

211 Main Street, San Francisco, CA 94105-1901

Mailing Address

Phone number

(415) 667-7000

Established

Firm type

Fiscal year end

# of Employees

1,042

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SCHWAB WEALTH ADVISORY, INC. DISCLOSURE BROCHURE (9/23/2025)

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Regina J. Tsai

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Regina Jui Chieh Tsai's CRS (Customer Relationship Summary).

Certified licenses

Experience

CHARLES SCHWAB & CO., INC.

B|O|S

USAA FINANCIAL PLANNING SERVICES

USAA FINANCIAL ADVISORS, INC.

MUTUAL OF AMERICA SECURITIES LLC

MUTUAL OF AMERICA LIFE INSURANCE COMPANY

GROVE POINT INVESTMENTS, LLC

GROVE POINT INVESTMENTS, LLC

LEGG MASON WOOD WALKER, INCORPORATED

LEGG MASON WOOD WALKER, INCORPORATED

Primary Firm SEC Registration

SCHWAB WEALTH ADVISORY, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 10/1/2004

SIE

Date: 10/1/2018

Series 7

Date: 7/6/2004

Series 10

Date: 10/18/2021

Series 9

Date: 6/7/2021

FINRA

Nasdaq Stock Market

Current Firm

SCHWAB WEALTH ADVISORY, INC.

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Red Flags

Company Information

SCHWAB WEALTH ADVISORY, INC.

TRUST BUT VERIFY

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