Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alice? Claim Your ProfileAlice Mui is a financial professional with over 17 years of experience in the industry. Alice is currently registered with Investment Distributors, Inc. and has a Series 6, 26, 63, 99TO and SIE. Alice has previously worked with Concourse Financial Group Securities, Inc., GWFS Equities, Inc. and Invesco AIM Distributors, Inc. Alice is licensed in Colorado and Kansas.
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.
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.
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2
KY
01/03/2022 - Present
Investment Distributors, Inc. (Covington KY)
CO
06/04/2019 - 01/03/2022
CONCOURSE FINANCIAL GROUP SECURITIES, INC. (Greenwood Village CO)
CO
12/07/2009 - 06/03/2019
GWFS EQUITIES, INC. (GREENWOOD VILLAGE CO)
TX
04/29/2005 - 08/31/2009
INVESCO AIM DISTRIBUTORS, INC. (HOUSTON TX)
BC
Issued 10/23/2017
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/31/2007
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/28/2005
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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