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Sunny Hsing-i Chiou

Northwestern Mutual Investment Services, LLC

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About Sunny Hsing-i Chiou

Sunny Hsing-I Chiou is a financial professional associated with Northwestern Mutual Investment Services, LLC. Sunny has been working in the financial services industry since August 2004. Sunny has been registered with the state of New Jersey since May 2013. Sunny is currently registered as a Registered Representative and an Investment Adviser Representative.

Firm Information

Sunny Chiou is currently registered with Northwestern Mutual Investment Services, LLC. Northwestern Mutual Investment Services, LLC is a Limited Liability Company formed in June 1998 and based in Milwaukee, Wisconsin. The firm offers investment research, referrals to other advisors, and acts as an investment advisor, providing advisory services to various client types, including individuals, corporations, and insurance companies. They are registered with the SEC and in all 50 states, boasting a large network of licensed agents, investment advisor representatives, and registered representatives. The firm has been involved in several regulatory events and one arbitration disclosure.
Northwestern Mutual Investment Services, LLC

875 3RD AVE FL 23

NEW YORK, NY 10022

Not reported

Assets Under Management

1

Total Clients

10,224

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.

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investment research; referrals to other advisers

Investment research; referrals to other advisers

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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fixed fees

Set rates for specific services, regardless of time or assets managed.

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other

Referral fees

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Sunny Chiou’s Registration & Firm History

NY

05/07/2013 - Present

Northwestern Mutual Investment Services, LLC (NEW YORK NY)

NY

02/20/2007 - 01/06/2009

SOLEIL SECURITIES CORPORATION (NEW YORK NY)

NY

11/02/2004 - 10/16/2006

RAYMOND JAMES & ASSOCIATES, INC. (NEW YORK NY)

NY

08/21/2003 - 06/28/2004

FULCRUM GLOBAL PARTNERS LLC (NEW YORK NY)

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Licenses & Designations

IA

Issued 5/6/2013

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 1/8/2004

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 8/20/2003

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Sunny Hsing-i Chiou.
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