Albert C. Mou
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.
Albert C Mou, who also goes by Albert Mou, Chung Chen Mou, was a registered financial professional .
Albert is a previously registered financial professional and started their career in finance in 1991. Albert had worked at 6 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 21, 2001 - July 14, 2022
MAIA SECURITIES, INC.
February 27, 2001 - April 25, 2002
FORTUNE SECURITIES, INC.
December 13, 1999 - January 30, 2001
STOCK USA, INC.
January 2, 1992 - November 5, 1999
ACUMENT SECURITIES, INC.
August 6, 1991 - January 13, 1992
LIGHT SECURITIES
April 4, 1991 - August 8, 1991
INTERFIRST CAPITAL CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
MAIA SECURITIES, INC.
CRD#: 111394 / SEC#: , 8-53161
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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