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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carolyn? Claim Your ProfileCarolyn Her Chi Sheu is a financial advisor with Beacon Pointe Advisors, LLC. Carolyn has been in the financial services industry since 1997. Carolyn has a broad range of experience, having worked with firms including J.P. Morgan Securities LLC, Western International Securities, Inc., Morgan Stanley, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Charles Schwab & Co., Inc., WMA Securities, Inc. Carolyn holds the Series 3, 7, 9, 10, 63, 65, and SIE licenses. Carolyn is also a Certified Financial Planner. Carolyn provides investment advisory services to individuals, corporations, charitable organizations, and pooled investment vehicles.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
Consulting services
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.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
CA
02/16/2023 - Present
Beacon Pointe Advisors, LLC (NEWPORT BEACH CA)
CA
10/05/2020 - 01/12/2023
J.P. MORGAN SECURITIES LLC (ARCADIA CA)
CA
11/14/2016 - 09/15/2020
WESTERN INTERNATIONAL SECURITIES, INC. (Pasadena CA)
CA
07/24/2015 - 08/22/2016
MORGAN STANLEY (PASADENA CA)
CA
01/03/2003 - 07/09/2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (PASADENA CA)
TX
06/29/1999 - 11/22/2002
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
NY
12/15/1997 - 01/12/1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
GA
01/07/1997 - 12/31/1998
WMA SECURITIES, INC. (DULUTH GA)
NY
01/07/1997 - 10/08/1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 02/20/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/20/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/15/1999
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/15/1999
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/29/1998
Series 3 - National Commodity Futures Examination
BC
Issued 01/06/1997
Series 7 - General Securities Representative Examination
Active
Inactive
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