Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Khuong? Claim Your ProfileKhuong Chau is a financial advisor in the New York area. Khuong is currently registered with Citigroup Global Markets Inc. and has been in the industry since 2001. Khuong has extensive experience in various firms including HSBC Securities (USA) Inc., TD Ameritrade, Inc., Summit Brokerage Services, Inc., Lord Abbett Distributor LLC, Citicorp Investment Services, Wachovia Securities, LLC, Raymond James Financial Services, Inc., Corinthian Partners, L.L.C., and Sands Brothers & Co., LTD.. Khuong holds Series 63, Series 65, Series 7, and SIE licenses.
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.
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.
Asset allocation advice
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.
1
2
NY
08/17/2021 - Present
Citigroup Global Markets Inc. (NEW YORK NY)
NY
10/11/2012 - 05/12/2017
HSBC SECURITIES (USA) INC. (NEW YORK NY)
NY
04/06/2011 - 10/26/2012
TD AMERITRADE, INC. (FOREST HILLS NY)
NY
08/10/2009 - 12/21/2010
SUMMIT BROKERAGE SERVICES, INC. (NEW YORK NY)
NJ
11/17/2006 - 08/03/2009
LORD ABBETT DISTRIBUTOR LLC (JERSEY CITY NJ)
NY
09/02/2003 - 08/16/2006
CITICORP INVESTMENT SERVICES (NEW YORK NY)
MO
12/12/2002 - 09/02/2003
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
FL
03/14/2002 - 10/24/2002
RAYMOND JAMES FINANCIAL SERVICES, INC. (ST. PETERSBURG FL)
NY
07/10/2001 - 02/11/2002
CORINTHIAN PARTNERS, L.L.C. (NEW YORK NY)
NY
10/23/2000 - 07/23/2001
SANDS BROTHERS & CO., LTD. (NEW YORK NY)
IA
Issued 12/09/2003
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/03/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/21/2000
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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