Yuanye M. 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.
Yuanye Michael Chiu, who also goes by Yuan Ye Michael Chiu, was a registered financial professional .
Yuanye is a previously registered financial professional and started their career in finance in 1992. Yuanye had worked at 5 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 1, 2024 - August 11, 2025
GRIFFINEST ASIA SECURITIES, LLC
October 27, 2005 - August 18, 2023
OSAIC WEALTH, INC.
July 1, 1998 - February 28, 2005
NATIONAL PLANNING CORPORATION
August 9, 1996 - July 6, 1998
CETERA WEALTH SERVICES, LLC
August 19, 1992 - August 16, 1996
SUNAMERICA SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
GRIFFINEST ASIA SECURITIES, LLC
CRD#: 132187 / SEC#: , 8-66571
Contact information
FINRA licenses (3 States and Territories)
Disclosures
| Regulatory Event | 1 |
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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