Charles Chiu
Professional summary
Charles Chiu is a registered financial advisor currently at GOLDEN LAKE LLC located in Parsippany, New Jersey.
Charles is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1989. Charles has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Charles Chiu's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 23, 2021 - Present
GOLDEN LAKE LLC
July 30, 2015 - December 8, 2020
WORLD INVESTMENTS, LLC
July 27, 2015 - December 8, 2020
WORLD INVESTMENTS, LLC
November 27, 2013 - June 5, 2015
AVANTAX ADVISORY SERVICES
November 26, 2013 - June 5, 2015
AVANTAX INVESTMENT SERVICES, INC.
August 8, 2002 - December 2, 2013
WELLS FARGO CLEARING SERVICES, LLC
October 1, 1999 - December 2, 2013
WELLS FARGO CLEARING SERVICES, LLC
October 20, 1998 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
May 28, 1996 - October 9, 1998
SUNPOINT SECURITIES, INC.
September 14, 1993 - August 8, 1996
MORGAN STANLEY DW INC.
January 15, 1990 - September 14, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 17, 1989 - December 12, 1989
J. T. MORAN & CO., INC.
January 24, 1989 - April 4, 1989
WALL STREET WEST, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(7/23/2021)
Exams
Current Firm
GOLDEN LAKE LLC
CRD#: 313819 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 13 |
| AUM (Assets Under Management) | $ 4,250,000 |
Red Flags
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