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Elsa Tse Resigns from Charles Schwab & Company

Elsa Tse (CRD #: 5043069), a broker formerly registered with Charles Schwab & Company, resigned from that firm, according to her BrokerCheck record, accessed on March 14, 2023. If you have questions about her alleged conduct as a broker, keep reading.

Resignation from Charles Schwab & Company

On January 10, 2023, Elsa Tse was permitted to resign from Charles Schwab & Company after she allegedly recorded inaccurate documentation of client interactions.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information

Elsa Tse has passed the following exams:

  • Series 65 – Uniform Investment Adviser Law Examination
  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination
  • Series 6 – Investment Company Products/Variable Contracts Representative Examination

She has also worked for the following firms:

  • Charles Schwab & Company (CRD#:5393)
  • HSBC Securities (USA) (CRD#:19585)
  • Merrill Lynch, Pierce, Fenner & Smith (CRD#:7691)
  • Chase Investment Services (CRD#:25574)
  • Banc of America Investment Services (CRD#:16361)
  • Countrywide Investment Services (CRD#:103919)
  • UVEST Financial Services Group (CRD#:13787)
  • WM Financial Services (CRD#:599)

Kurta Law Can Help

If you worked with Elsa Tse and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. 

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