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Jeffrey Sen hung Ku

FIS Brokerage & Securities Services LLC

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About Jeffrey Sen hung Ku

Jeffrey Ku is a financial professional with over 20 years of experience in the industry. Jeffrey is registered with FIS Brokerage & Securities Services LLC, and holds the Series 7, Series 24, Series 52TO, Series 57TO and Series 99TO licenses. Jeffrey previously worked at Sungard Institutional Brokerage Inc., Chase Investment Services Corp., Banc One Securities Corporation, and Prudential Securities Incorporated. Jeffrey is licensed in Illinois.

Firm Information

Jeffrey Ku is currently registered with FIS Brokerage & Securities Services LLC. FIS Brokerage & Securities Services LLC is a Limited Liability Company formed in February 2000. The firm is registered with the SEC and in all 50 states, as well as Puerto Rico, the Virgin Islands and the District of Columbia. FIS Brokerage & Securities Services LLC has been the subject of 23 regulatory events.

Not reported

Assets Under Management

Not reported

Total Clients

32

Total Financial Advisors

Services Offered

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.

Fee Structure

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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Jeffrey Ku’s Registration & Firm History

IL

01/02/2014 - Present

FIS Brokerage & Securities Services LLC (BOLINGBROOK IL)

IL

02/11/2008 - 12/31/2013

SUNGARD INSTITUTIONAL BROKERAGE INC. (GENEVA IL)

IL

08/27/2004 - 02/05/2008

CHASE INVESTMENT SERVICES CORP. (CHICAGO IL)

IL

05/09/2000 - 07/27/2006

BANC ONE SECURITIES CORPORATION (CHICAGO IL)

NY

06/16/1998 - 02/18/2000

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

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Licenses & Designations

IA

Issued 07/31/1998

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 06/19/1998

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/23/2011

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 01/02/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/15/1998

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Jeffrey Sen hung Ku.
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