Ophelia Y. Chiu
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Ophelia Yee Mui Chiu, who also goes by Ophelia Y M Chiu, was a registered financial professional .
Ophelia is a previously registered financial professional and started their career in finance in 1986. Ophelia had worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 16, 2014 - August 9, 2016
ROBERTSON STEPHENS SECURITIES
May 22, 2014 - August 9, 2016
ROBERTSON STEPHENS ADVISORS
April 9, 2008 - October 10, 2013
DEUTSCHE BANK SECURITIES INC.
January 13, 2001 - October 10, 2013
DEUTSCHE BANK SECURITIES INC.
September 1, 1997 - January 13, 2001
DB ALEX. BROWN LLC
February 15, 1990 - September 1, 1997
ALEX. BROWN & SONS INCORPORATED
April 7, 1986 - February 13, 1990
FINANCIAL SQUARE PARTNERS
March 24, 1986 - April 15, 1986
HAMBRECHT & QUIST LLC
State Registrations and Notice Filings
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Current Firm
ROBERTSON STEPHENS SECURITIES
CRD#: 167704 / SEC#: , 8-69276
Contact information
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Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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