Jacky H. 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.
Jacky Ho Yiu Chiu, who also goes by Hoyiu Jacky Chiu, Jacky Chiu, was a registered financial professional .
Jacky is a previously registered financial professional and started their career in finance in 1993. Jacky had worked at 12 firms and has passed the Series 66, Series 63, Series 57TO, SIE, Series 55, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 14, 2022 - September 8, 2023
CHARLES SCHWAB & CO., INC.
January 26, 2022 - September 8, 2023
CHARLES SCHWAB & CO., INC.
February 27, 2018 - October 14, 2022
TD AMERITRADE, INC.
February 26, 2018 - September 7, 2023
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
February 26, 2018 - September 8, 2023
TD AMERITRADE, INC.
July 21, 2016 - February 26, 2018
SCOTTRADE INVESTMENT MANAGEMENT
July 12, 2011 - February 26, 2018
SCOTTRADE, INC.
March 16, 2006 - July 6, 2009
E*TRADE SECURITIES LLC
January 14, 2005 - March 14, 2006
TD AMERITRADE, INC.
April 24, 2002 - January 12, 2005
GREAT EASTERN SECURITIES, INC.
February 25, 2002 - April 9, 2002
GLOBAL ACCESS FINANCIAL SERVICES
April 23, 1997 - May 15, 2001
NEBRASKA HUDSON COMPANY, INC.
October 24, 1995 - April 23, 1997
UNIVEST SECURITIES, LLC
March 22, 1994 - March 29, 1995
GRUNTAL & CO., L.L.C.
April 7, 1993 - March 22, 1994
SOUTH RICHMOND SECURITIES, INC.
Primary Firm SEC Registration
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 11/8/2000
Limited Representative-Equity Trader ExamCurrent Firm
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHWAB HOLDINGS, INC. | 100% OWNER | |
| BEATTY, JONATHAN SCOTT | DIRECTOR, MANAGING DIRECTOR AND HEAD OF ADVISOR SERVICES | 2429276 |
| CRAIG, JONATHAN M | PRESIDENT, DIRECTOR, MANAGING DIRECTOR AND HEAD OF INVESTOR SERVICES AND MARKETING | 4144656 |
| HATHI, NEESHA K | MANAGING DIRECTOR HEAD OF WEALTH & ADVICE SOLUTIONS | 2648997 |
| HOWARD, DENNIS WILLARD | MANAGING DIRECTOR AND CHIEF INFORMATION OFFICER | 6403083 |
| NICHOLS, CHARLES | MANAGING DIRECTOR AND BROKER DEALER & INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER | 4811434 |
| STARR, JEFFREY HAROLD | MANAGING DIRECTOR, AND OPERATIONAL SERVICES AND PRINCIPAL OPERATIONS OFFICER | 4700461 |
| VERDESCHI, MICHAEL DANIEL | MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 4570777 |
Disclosures
| Regulatory Event | 58 |
| Civil Event | 3 |
| Arbitration | 248 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/24/2025 | ||
| 01/19/2024 | ||
| 04/14/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
