Serina F. Shyu

SCHWAB WEALTH ADVISORY

Atlanta, GA 30326

Some features on this profile are disabled

CRD#: 6215354

Professional summary

Serina F Shyu, AIF®, CFP®, who also goes by Serina F Shyu, Serina Francovich Shyu, is a registered financial advisor currently at SCHWAB WEALTH ADVISORY, INC. located in Atlanta, Georgia and CHARLES SCHWAB & CO., INC. located in Atlanta, Georgia.

Serina is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Serina has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Serina F Shyu | Serina Francovich Shyu

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 Serina F Shyu'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®

AIF^®

Accredited Investment Fiduciary

CFP^®

Certified Financial Planner

Start date: 2017

Experience

Current

September 30, 2024 - Present

SCHWAB WEALTH ADVISORY, INC.

Office #1: 3424 Peachtree Road, Ne Suite 1750, Atlanta, GA 30326

RIA

CRD#: 159035

Atlanta, GA

Current

September 26, 2024 - Present

CHARLES SCHWAB & CO., INC.

Office #1: 3424 Peachtree Road Ne Suite 1750, Atlanta, GA 30326

RIA

CRD#: 5393

Atlanta, GA

Past

September 30, 2024 - December 9, 2024

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Atlanta, GA

Past

May 19, 2020 - September 18, 2024

LPL FINANCIAL LLC

RIA

CRD#: 6413

ATLANTA, GA

Past

May 18, 2020 - September 18, 2024

LPL FINANCIAL LLC

CRD#: 6413

ATLANTA, GA

Past

March 3, 2020 - July 1, 2020

CWM, LLC

RIA

CRD#: 155344

Atlanta, GA

Past

May 14, 2018 - December 31, 2020

JON BAKER FINANCIAL GROUP

RIA

CRD#: 296921

ATLANTA, GA

Past

January 5, 2017 - March 4, 2020

WOODBURY FINANCIAL SERVICES, INC.

RIA

CRD#: 421

ATLANTA, GA

Past

September 22, 2014 - March 4, 2020

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

ATLANTA, GA

Past

July 18, 2013 - September 23, 2014

E*TRADE SECURITIES LLC

CRD#: 29106

ALPHARETTA, GA

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

Alabama
(10/18/2024)

Florida
(10/17/2024)

Georgia
(9/26/2024)

IAR

Georgia
(9/30/2024)

Illinois
(3/6/2025)

Indiana
(3/6/2025)

Kentucky
(10/17/2024)

Maryland
(4/25/2025)

Massachusetts
(4/16/2025)

New Jersey
(12/12/2024)

North Carolina
(6/3/2025)

Tennessee
(10/17/2024)

Texas
(3/27/2025)

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 65

Date: 1/3/2015

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/30/2013

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/18/2013

General Securities Representative 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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Similar Advisors

Robert Busby

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Atlanta, GA

Tyrane Perry

J.P. MORGAN SECURITIES LLC

IAR

Atlanta, GA

Alexander Paslay

KESTRA ADVISORY SERVICES, LLC

IAR

Woodstock, GA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Serina F. Shyu

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Serina F Shyu's CRS (Customer Relationship Summary).

Certified licenses

Experience

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

CWM, LLC

JON BAKER FINANCIAL GROUP

WOODBURY FINANCIAL SERVICES, INC.

WOODBURY FINANCIAL SERVICES, INC.

E*TRADE SECURITIES LLC

Primary Firm SEC Registration

SCHWAB WEALTH ADVISORY, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 1/3/2015

Series 63

Date: 7/30/2013

SIE

Date: 10/1/2018

Series 7

Date: 7/18/2013

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

Similar Advisors