Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Chau? Claim Your ProfileChau Huynh is a financial advisor who has been working in the industry since 1998. Chau is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. and has been with the firm since November 2000. Chau holds a variety of licenses and certifications, including Series 6, 7, 63, and 66. Chau has a strong track record of success in providing financial advice to individuals, families, and businesses. Chau specializes in providing investment advice, financial planning, and retirement planning services. Chau is committed to helping clients achieve their financial goals.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CA
07/23/2009 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SAN MATEO CA)
CA
09/10/1998 - 10/13/2000
FRANKLIN/TEMPLETON DISTRIBUTORS, INC. (SAN MATEO CA)
BC
Issued 08/04/2011
Series 63 - Uniform Securities Agent State Law Examination
BOTH
Issued 11/01/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/26/2002
Series 7 - General Securities Representative Examination
BC
Issued 09/09/1998
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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