Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Chiahwei? Claim Your ProfileChiahwei Christine Ku is a registered investment advisor representative at Merrill Lynch, Pierce, Fenner & Smith Inc. in Pasadena, California. Chiahwei has been in the securities industry since 2006 and has passed a number of exams, including the Series 6, 7TO, 63, and 65. Chiahwei has also been employed by Citigroup Global Markets Inc. and CitiCorp Investment Services.
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
05/31/2022 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (PASADENA CA)
CA
05/29/2007 - 05/27/2022
CITIGROUP GLOBAL MARKETS INC. (TORRANCE CA)
CA
09/21/2006 - 05/29/2007
CITICORP INVESTMENT SERVICES (TORRANCE CA)
IA
Issued 05/14/2020
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/28/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/11/2020
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/20/2006
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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