Tony 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.
Tony M Chiu Mr., who also goes by Man Wah Chiu Mr., Tony Man Wah Chiu Mr., Tony Chiu Mr., Tony Chiu, Tony Man Wah Wah Chiu Mr., was a registered financial professional .
Tony is a previously registered financial professional and started their career in finance in 1994. Tony had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7, Series 4, Series 10, Series 9, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 25, 2018 - December 31, 2020
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
September 25, 2018 - January 11, 2021
TD AMERITRADE, INC.
September 25, 2018 - January 11, 2021
TD AMERITRADE, INC.
May 29, 2013 - April 3, 2018
MORGAN STANLEY
May 29, 2013 - April 3, 2018
MORGAN STANLEY
April 21, 2008 - April 5, 2012
CITIGROUP GLOBAL MARKETS INC.
April 21, 2008 - April 5, 2012
CITIGROUP GLOBAL MARKETS INC.
March 5, 2008 - April 18, 2008
CHARLES SCHWAB & CO., INC.
July 30, 1997 - April 18, 2008
CHARLES SCHWAB & CO., INC.
December 3, 1996 - July 10, 1997
PCI*TRADE SECURITIES
January 19, 1995 - July 8, 1997
WHITEHALL-PARKER SECURITIES, INC.
January 1, 1995 - January 31, 1995
H.J. MEYERS & CO., INC.
May 6, 1994 - June 3, 1994
REYNOLDS KENDRICK STRATTON, INC.
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
Current Firm
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
CRD#: 111514 / SEC#: 801-55501
Contact information
Regulatory assets under management
| Total Number of Accounts | 101,875 |
| AUM (Assets Under Management) | $ 15,827,987,428 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/17/2023 | ||
| 12/22/2021 |
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.
