Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lucy? Claim Your ProfileLucy Xuan du Chism is a financial advisor who has been working in the industry since 2007. Lucy is currently registered with Raymond James Financial Services Advisors, Inc. in Tennessee and Texas. Lucy is also licensed to conduct business in several other states. Lucy has a broad range of experience working with a variety of clients including high net worth individuals, corporations and insurance companies. Lucy holds both Series 7 and Series 66 licenses, as well as the Securities Industry Essentials Examination (SIE). Lucy works closely with clients to understand their financial goals and develop personalized strategies to help them achieve their objectives.
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.
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.
Hourly & fixed rate consultations
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.
Per participant (erisa)
1
2
TN
02/22/2024 - Present
Raymond James Financial Services Advisors, Inc. (Nashville TN)
TN
06/15/2016 - 02/27/2024
WELLS FARGO CLEARING SERVICES, LLC (MEMPHIS TN)
TN
11/27/2013 - 06/17/2016
U.S. BANCORP INVESTMENTS, INC. (NASHVILLE TN)
TN
09/07/2012 - 12/04/2013
SUNTRUST INVESTMENT SERVICES, INC. (NASHVILLE TN)
TN
08/24/2007 - 09/10/2012
U.S. BANCORP INVESTMENTS, INC. (BRENTWOOD TN)
BOTH
Issued 11/26/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/23/2007
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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