Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Chau? Claim Your ProfileChau Morris is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Chau holds a Series 7, Series 63, and Series 65 license and has been in the industry since 2013. Chau has been registered in 53 states and holds registrations as an Investment Advisor Representative in Indiana, Michigan, and Texas. Chau is also an Independent Distributor for SendOutCards, a company that offers client send out card services using their website. Chau is a specialist in the following areas: investment company/mutual fund products, variable life insurance products, variable annuities, fixed insurance products, and fixed annuities.
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
IN
06/25/2014 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (INDIANAPOLIS IN)
BC
Issued 06/17/2014
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 06/04/2014
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/14/2013
Series 7 - General Securities 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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